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.
D••••• B•••• P••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 11, 2021 · Baton Rouge, La
- A••• H•••• L•• independent RIAFeb 4, 2020 to Mar 11, 2021 · Baton Rouge, La
- M••••• A•••••••• L•• BD affiliatedJun 10, 2019 to Feb 3, 2020 · Baton Rouge, La
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 25, 2018 to Jun 10, 2019 · Baton Rouge, La
- A••• H•••• L•• to L•• F•••••••• L••left Mar 11, 2021, registered Mar 11, 2021 (0 days) · RIA to affiliated broker-dealer or bank
- M••••• A•••••••• L•• to A••• H•••• L••left Feb 3, 2020, registered Feb 4, 2020 (1 days) · Affiliated broker-dealer or bank to independent RIA
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• A•••••••• L••left Jun 10, 2019, registered Jun 10, 2019 (0 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address