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.
W•••••• J• D•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 1, 2023 · Mandeville, La
- J••• M••••• S••••••••• L•• wirehouseMay 3, 2018 to Aug 2, 2023 · Harahan, La
- C•••••• O•• A•••••••• L•• formerSep 14, 2017 to May 7, 2018 · Metairie, La
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 2, 2023, registered Aug 1, 2023 (-1 days) · Wirehouse to wirehouse
- C•••••• O•• A•••••••• L•• to J••• M••••• S••••••••• L••left May 7, 2018, registered May 3, 2018 (-4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••••• J• D••••• left J••• M••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-08-01)Aug 2, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address