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.
B•••• W•••••• S•••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · San Antonio, Tx
- S••••••• I••••••••• I••• formerMar 22, 2011 to Nov 2, 2018 · Southfield, Mi
- I••••• F•••••••• C••••••••• formerSep 25, 2009 to Mar 23, 2011 · San Antonio, Tx
- W••••••• F•••••••• S•••••••• I••• formerOct 16, 2006 to Sep 29, 2009 · San Antonio, Tx
- I••••• F•••••••• C••••••••• formerFeb 17, 2005 to Sep 7, 2005 · San Antonio, Tx
- P•••••••• S••••••••• I••• BD affiliatedJan 23, 1992 to Dec 10, 2004 · San Antonio, Tx
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to S••••••• I••••••••• I•••left Mar 23, 2011, registered Mar 22, 2011 (-1 days) · Other
- W••••••• F•••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Sep 29, 2009, registered Sep 25, 2009 (-4 days) · Other
- I••••• F•••••••• C••••••••• to W••••••• F•••••••• S•••••••• I•••left Sep 7, 2005, registered Oct 16, 2006 (404 days) · Other
- P•••••••• S••••••••• I••• to I••••• F•••••••• C•••••••••left Dec 10, 2004, registered Feb 17, 2005 (69 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address