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••••• L••• W•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 30, 2021 · Live Oak, Tx
- C••• B•••••••• S•••••••• I••• formerJul 21, 2015 to Sep 2, 2021 · Live Oak, Tx
- J••••• I••••••••• G••••• L••• unclassifiedJan 13, 2009 to Jul 31, 2014 · San Antonio, Tx
- R•••••• J•••• • A••••••••• I••• national BDMar 7, 2005 to Dec 23, 2008 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedJul 11, 2003 to Sep 29, 2004 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMMay 23, 1997 to Jun 4, 2003 · San Antonio, Tx
- C••• B•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 2, 2021, registered Aug 30, 2021 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- J••••• I••••••••• G••••• L••• to C••• B•••••••• S•••••••• I•••left Jul 31, 2014, registered Jul 21, 2015 (355 days) · Other
- R•••••• J•••• • A••••••••• I••• to J••••• I••••••••• G••••• L•••left Dec 23, 2008, registered Jan 13, 2009 (21 days) · Other
- L•• F•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Sep 29, 2004, registered Mar 7, 2005 (159 days) · Other
- U••• I••••••••• S••••••• C•••••• to L•• F•••••••• L••left Jun 4, 2003, registered Jul 11, 2003 (37 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address