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••••• D••••• O••••
- U••• I••••••••• S••••••• C•••••• no RAUM currentsince Jan 8, 2018 · Tampa, Fl
- U••• F•••••••• P••••••• S••••••• formerSep 13, 2011 to Jan 8, 2018 · San Antonio, Tx
- I••••••••• P••••••••• I••• formerSep 4, 2009 to Feb 22, 2011 · San Marcos, Tx
- A••••••••• L••• otherJul 14, 2004 to Oct 18, 2006 · New York, Ny
- C•••••• S••••• • C••• I••• national BDApr 7, 2003 to Oct 27, 2003 · San Antonio, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 29, 1985 to Mar 3, 2003 · Boise, Id
- 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
- I••••••••• P••••••••• I••• to U••• F•••••••• P••••••• S•••••••left Feb 22, 2011, registered Sep 13, 2011 (203 days) · Other
- A••••••••• L••• to I••••••••• P••••••••• I•••left Oct 18, 2006, registered Sep 4, 2009 (1052 days) · Other
- C•••••• S••••• • C••• I••• to A••••••••• L•••left Oct 27, 2003, registered Jul 14, 2004 (261 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Mar 3, 2003, registered Apr 7, 2003 (35 days) · Wirehouse to affiliated broker-dealer or bank
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address