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••••• L••••• D•••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 19, 2011 · San Antonio, Tx
- S••• I••••••••• C•••••• independent RIAFeb 23, 2010 to Oct 21, 2011 · San Antonio, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Feb 22, 2010 · Laredo, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedApr 27, 2004 to Jul 6, 2005 · San Antonio, Tx
- S••• I••••••••• C•••••• to L•• F•••••••• L••left Oct 21, 2011, registered Oct 19, 2011 (-2 days) · Other
- C•••• I••••••••• S••••••• C•••• to S••• I••••••••• C••••••left Feb 22, 2010, registered Feb 23, 2010 (1 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address