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.
C•••• L••••• B••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 8, 2023 · Broussard, La
- L•• F•••••••• L•• BD affiliatedApr 3, 2023 to Aug 14, 2023 · Lafayette, La
- P••••••• F•••••••• S•••••••• I••• BD affiliatedJan 1, 2021 to Apr 3, 2023 · Lafayette, La
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Aug 14, 2023, registered Aug 8, 2023 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- P••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Apr 3, 2023, registered Apr 3, 2023 (0 days) · RIA to affiliated broker-dealer or bank
- C•••• L••••• B•••••• left L•• F•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-08-08)Aug 14, 2023 · Advisor changed firm · fact
- C•••• L••••• B•••••• left P••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2023-04-03)Apr 3, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address