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.
J••••• B•••••• J••••
- L•• F•••••••• L•• BD affiliated currentsince May 29, 2020 · Denton, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 28, 2017 to Jun 1, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMar 8, 2010 to Jul 11, 2017 · San Antonio, Tx
- M•••• M•••••••• I••• independent RIAFeb 2, 2009 to Mar 8, 2010 · San Antonio, Tx
- N••• F•••••••• G••••• I••• formerOct 6, 2008 to Feb 19, 2010 · Houston, Tx
- M•••• M•••••••• I••• independent RIADec 4, 2007 to Dec 31, 2008 · San Antonio, Tx
- C••••• I••••••••• S••••••• L•• formerAug 16, 2005 to Jul 3, 2007 · San Antonio, Tx
- S••••••• S•••••• C•••• L••••• unclassifiedAug 26, 2002 to Dec 31, 2006 · San Antonio, Tx
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 1, 2020, registered May 29, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to M•• I•••••••• S•••••••• L••left Jul 11, 2017, registered Jul 28, 2017 (17 days) · Other
- M•••• M•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Mar 8, 2010, registered Mar 8, 2010 (0 days) · Other
- N••• F•••••••• G••••• I••• to M•••• M•••••••• I•••left Feb 19, 2010, registered Feb 2, 2009 (-382 days) · Other
- M•••• M•••••••• I••• to N••• F•••••••• G••••• I•••left Dec 31, 2008, registered Oct 6, 2008 (-86 days) · Other
- C••••• I••••••••• S••••••• L•• to M•••• M•••••••• I•••left Jul 3, 2007, registered Dec 4, 2007 (154 days) · Other
- S••••••• S•••••• C•••• L••••• to C••••• I••••••••• S••••••• L••left Dec 31, 2006, registered Aug 16, 2005 (-502 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address