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••••• S•••••• wirehouse currentsince Nov 12, 2010 · San Antonio, Tx
- T•• Q••••••••• G••••• L••• unclassifiedSep 23, 2005 to Dec 31, 2011 · San Antonio, Tx
- W•• A•••••••• L• formerJul 1, 2004 to Nov 15, 2010 · San Antonio, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 12, 1996 to Jul 12, 2004 · San Antonio, Tx
- T•• Q••••••••• G••••• L••• to M••••• S••••••left Dec 31, 2011, registered Nov 12, 2010 (-414 days) · Other
- W•• A•••••••• L• to T•• Q••••••••• G••••• L•••left Nov 15, 2010, registered Sep 23, 2005 (-1879 days) · Other
- C•••••••• G••••• M•••••• I••• to W•• A•••••••• L•left Jul 12, 2004, registered Jul 1, 2004 (-11 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address