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.
- E••••• J•••• national BD currentsince Oct 16, 2015 · Boerne, Tx
- I••••••••• P••••••••• I••• formerJun 7, 2012 to Aug 20, 2015 · San Antonio, Tx
- A••••••• A•••• M••••••••• I••• mixed wealthSep 2, 2008 to Jul 13, 2011 · Boerne, Tx
- U••• F•••••••• P••••••• S••••••• formerJul 17, 2007 to Aug 22, 2008 · Phoenix, Az
- I••••••••• P••••••••• I••• to E••••• J••••left Aug 20, 2015, registered Oct 16, 2015 (57 days) · Other
- A••••••• A•••• M••••••••• I••• to I••••••••• P••••••••• I•••left Jul 13, 2011, registered Jun 7, 2012 (330 days) · Other
- U••• F•••••••• P••••••• S••••••• to A••••••• A•••• M••••••••• I•••left Aug 22, 2008, registered Sep 2, 2008 (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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address