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••••• F••••••
- U••• I••••••••• S••••••• C•••••• no RAUM currentsince Jan 8, 2018 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerNov 30, 2009 to Jan 8, 2018 · San Antonio, Tx
- R••••••••• W••••• M••••••••• formerMay 13, 2009 to Oct 20, 2009 · San Antonio, Tx
- N•• E•••••• S••••••••• C••••••••• formerNov 6, 2008 to May 18, 2009 · Boerne, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMDec 6, 1994 to Apr 30, 2008 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- R••••••••• W••••• M••••••••• to U••• F•••••••• P••••••• S•••••••left Oct 20, 2009, registered Nov 30, 2009 (41 days) · Other
- N•• E•••••• S••••••••• C••••••••• to R••••••••• W••••• M•••••••••left May 18, 2009, registered May 13, 2009 (-5 days) · Other
- U••• I••••••••• S••••••• C•••••• to N•• E•••••• S••••••••• C•••••••••left Apr 30, 2008, registered Nov 6, 2008 (190 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
- No RAUM reportedderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address