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.
M•••• G•••••• A•••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Jun 7, 2019 · Leesburg, Va
- C•••••• F•••••••• S•••••••• I••• formerMay 4, 2017 to May 20, 2019 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Aug 9, 2016 · San Antonio, Tx
- M••••• S•••••• C••••••••• unclassifiedFeb 15, 2006 to Sep 8, 2009 · Boston, Ma
- M• F•••••••• S••••••••• I•• unclassifiedJan 16, 2001 to Mar 10, 2006 · San Antonio, Tx
- C•••••• F•••••••• S•••••••• I••• to C•••••••• F••••••••• I•••left May 20, 2019, registered Jun 7, 2019 (18 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to C•••••• F•••••••• S•••••••• I•••left Aug 9, 2016, registered May 4, 2017 (268 days) · Other
- M••••• S•••••• C••••••••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
- M• F•••••••• S••••••••• I•• to M••••• S•••••• C•••••••••left Mar 10, 2006, registered Feb 15, 2006 (-23 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address