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.
J••• C• R••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Lafayette, La
- W••••••• F•••••••• S•••••••• I••• formerApr 22, 2021 to Jan 19, 2024 · Lafayette, La
- O•••• W•••••• I••• BD affiliatedOct 29, 2020 to Apr 16, 2021 · Lafayette, La
- W••••••• F•••••••• S•••••••• I••• formerJan 29, 2020 to Oct 26, 2020 · Abbeville, La
- P•• M•••••• A•••••• S••••••••• I••• formerApr 18, 2018 to Nov 27, 2018 · Houston, Tx
- C•••••• O•• A•••••••• L•• formerFeb 27, 2017 to Apr 9, 2018 · Lafayette, La
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- O•••• W•••••• I••• to W••••••• F•••••••• S•••••••• I•••left Apr 16, 2021, registered Apr 22, 2021 (6 days) · channel change inside one enterprise, not a move
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Oct 26, 2020, registered Oct 29, 2020 (3 days) · channel change inside one enterprise, not a move
- P•• M•••••• A•••••• S••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Nov 27, 2018, registered Jan 29, 2020 (428 days) · Affiliated broker-dealer or bank to another
- C•••••• O•• A•••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Apr 9, 2018, registered Apr 18, 2018 (9 days) · Affiliated broker-dealer or bank to another
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address