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.
E•••• A•• P••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 26, 2018 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseFeb 10, 2016 to Apr 3, 2018 · San Antonio, Tx
- R•••••• J•••• • A••••••••• I••• national BDNov 17, 2008 to Feb 18, 2016 · San Antonio, Tx
- C••••• I••••••••• S••••••• L•• formerMay 12, 2005 to Nov 30, 2007 · Del Rio, Tx
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Apr 3, 2018, registered Mar 26, 2018 (-8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Feb 18, 2016, registered Feb 10, 2016 (-8 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C••••• I••••••••• S••••••• L•• to R•••••• J•••• • A••••••••• I•••left Nov 30, 2007, registered Nov 17, 2008 (353 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address