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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jul 6, 2018 · San Antonio, Tx
- S••••• W••••• M••••••••• G•••• L•• state registeredMay 13, 2016 to Jun 18, 2018 · San Antonio, Tx
- O•••• I••••••••• I••• BD affiliatedOct 30, 2013 to Nov 13, 2015 · San Antonio, Tx
- I••••••••• P••••••••• I••• formerAug 22, 2008 to Oct 21, 2013 · San Antonio, Tx
- S••••• W••••• M••••••••• G•••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 18, 2018, registered Jul 6, 2018 (18 days) · Other
- O•••• I••••••••• I••• to S••••• W••••• M••••••••• G•••• L••left Nov 13, 2015, registered May 13, 2016 (182 days) · Other
- I••••••••• P••••••••• I••• to O•••• I••••••••• I•••left Oct 21, 2013, registered Oct 30, 2013 (9 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address