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.
R••••• L•• B••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 23, 2020 · Kenner, La
- W••••••• F•••••••• S•••••••• I••• formerFeb 3, 2012 to Nov 25, 2020 · Kenner, La
- S••••••• F•••••••• S•••••••• I••• formerMar 11, 2004 to Feb 6, 2012 · Metairie, La
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 25, 2020, registered Nov 23, 2020 (-2 days) · Affiliated broker-dealer or bank to another
- S••••••• F•••••••• S•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Feb 6, 2012, registered Feb 3, 2012 (-3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address