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.
T••••• A•• M••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 3, 2018 · San Antonio, Tx
- I••••••••• P••••••••• I••• formerMay 4, 2018 to Sep 24, 2018 · Victoria, Tx
- L•• F•••••••• L•• BD affiliatedFeb 5, 2016 to Mar 26, 2018 · Victoria, Tx
- O•••• F•• I••• formerAug 18, 2014 to Feb 11, 2016 · Victoria, Tx
- I••••••••• P••••••••• I••• formerDec 6, 2002 to Sep 2, 2014 · Edna, Tx
- C•••••••• F•••••••• G•••• A••••••• formerSep 23, 1997 to Oct 4, 2002 · Victoria, Tx
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2018, registered Jul 3, 2018 (-83 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to I••••••••• P••••••••• I•••left Mar 26, 2018, registered May 4, 2018 (39 days) · RIA to affiliated broker-dealer or bank
- O•••• F•• I••• to L•• F•••••••• L••left Feb 11, 2016, registered Feb 5, 2016 (-6 days) · Other
- I••••••••• P••••••••• I••• to O•••• F•• I•••left Sep 2, 2014, registered Aug 18, 2014 (-15 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to I••••••••• P••••••••• I•••left Oct 4, 2002, registered Dec 6, 2002 (63 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