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.
R•••• P••••• L•••••••••
- S••••••••• A•••• M••••••••• L•• independent RIA currentsince Jan 28, 2019 · Austin, Tx
- C•••••• A••••••• BD affiliatedOct 9, 2015 to Feb 5, 2019 · Austin, Tx
- L•••••• I••••••••• independent RIAJan 28, 2013 to Feb 5, 2019 · San Marcos, Tx
- S••••••• F•••••••• S•••••••• I••• formerDec 16, 2011 to Dec 6, 2012 · San Antonio, Tx
- C•••••• A••••••• to S••••••••• A•••• M••••••••• L••left Feb 5, 2019, registered Jan 28, 2019 (-8 days) · Affiliated broker-dealer or bank to independent RIA
- L•••••• I••••••••• to C•••••• A•••••••left Feb 5, 2019, registered Oct 9, 2015 (-1215 days) · Other
- S••••••• F•••••••• S•••••••• I••• to L•••••• I•••••••••left Dec 6, 2012, registered Jan 28, 2013 (53 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address