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.
C••••••• R•••
- S•••• O•• W••••• M••••••••• L•• independent RIA currentsince Jul 10, 2018 · San Antonio, Tx
- R•••••• J•••• • A••••••••• I••• national BDJul 19, 2016 to Jul 2, 2018 · San Antonio, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 20, 2014 to Nov 19, 2015 · San Antonio, Tx
- W•• A•••••••• L• formerMar 5, 2009 to Sep 19, 2014 · San Antonio, Tx
- T•• Q••••••••• G••••• L••• unclassifiedJan 10, 2007 to Aug 27, 2008 · San Antonio, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 12, 2005 to Oct 20, 2006 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Apr 29, 2005 · San Antonio, Tx
- P••••••••• E••••• G••••• L•• unclassifiedJan 11, 1999 to Jul 1, 2003 · San Antonio, Tx
- R•••••• J•••• • A••••••••• I••• to S•••• O•• W••••• M••••••••• L••left Jul 2, 2018, registered Jul 10, 2018 (8 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Nov 19, 2015, registered Jul 19, 2016 (243 days) · Wirehouse to affiliated broker-dealer or bank
- W•• A•••••••• L• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 19, 2014, registered Oct 20, 2014 (31 days) · Other
- T•• Q••••••••• G••••• L••• to W•• A•••••••• L•left Aug 27, 2008, registered Mar 5, 2009 (190 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T•• Q••••••••• G••••• L•••left Oct 20, 2006, registered Jan 10, 2007 (82 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 29, 2005, registered May 12, 2005 (13 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address