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••••••• F•••••••
- I•• W••••• M••••••••• L•• BD affiliated currentsince Jan 17, 2020 · San Anotonio, Tx
- U••• F•••••••• P••••••• S••••••• formerApr 7, 2008 to Apr 20, 2009 · San Antonio, Tx
- F•• W••••• M••••••••• L•• unclassifiedDec 13, 2007 to Feb 25, 2008 · Naples, Fl
- C•••••• L•• independent RIANov 18, 2002 to Jul 6, 2006 · Raleigh, Nc
- U••• F•••••••• P••••••• S••••••• to I•• W••••• M••••••••• L••left Apr 20, 2009, registered Jan 17, 2020 (3924 days) · Other
- F•• W••••• M••••••••• L•• to U••• F•••••••• P••••••• S•••••••left Feb 25, 2008, registered Apr 7, 2008 (42 days) · Other
- C•••••• L•• to F•• W••••• M••••••••• L••left Jul 6, 2006, registered Dec 13, 2007 (525 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address