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••• R••••• A••••••
- S••••• L••• C••••••• L•• independent RIA currentsince Jun 19, 2023 · Metairie, La
- A•••••• R••••••• C•••••• independent RIASep 19, 2022 to May 18, 2023 · Dallas, Tx
- F•• S••••••••• C••••••••• formerMar 1, 2016 to Sep 13, 2022 · Metairie, La
- A•••••• R••••••• C•••••• to S••••• L••• C••••••• L••left May 18, 2023, registered Jun 19, 2023 (32 days) · RIA to a newly registered adviser · moved with a team
- F•• S••••••••• C••••••••• to A•••••• R••••••• C••••••left Sep 13, 2022, registered Sep 19, 2022 (6 days) · Affiliated broker-dealer or bank to independent RIA
- J••• R••••• A•••••• left A•••••• R••••••• C•••••• for S••••• L••• C••••••• L•• (registered 2023-06-19)May 18, 2023 · a•••••• firm change · fact
- J••• R••••• A•••••• left F•• S••••••••• C••••••••• for A•••••• R••••••• C•••••• (registered 2022-09-19)Sep 13, 2022 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address