RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
L••••• E•••••• D••••
- C•••••• A••••••• C••••••••• independent RIA currentsince Oct 2, 2015 · Slidell, La
- B••• W••••• A•••••••• I••• independent RIAMay 13, 2013 to Oct 2, 2015 · Covington, La
- M••••• S•••••• C••••••••• unclassifiedFeb 10, 2009 to Sep 8, 2009 · Boston, Ma
- B••• W••••• A•••••••• I••• to C•••••• A••••••• C•••••••••left Oct 2, 2015, registered Oct 2, 2015 (0 days) · Other
- M••••• S•••••• C••••••••• to B••• W••••• A•••••••• I•••left Sep 8, 2009, registered May 13, 2013 (1343 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address