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.
C•••••• L•••••• M•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 14, 2023 · Southlake, Tx
- A•••••• A••••••• S••••••• formerOct 25, 2019 to Feb 17, 2023 · El Paso, Tx
- 1•• G••••• A••••••• I•• formerFeb 11, 2019 to Oct 25, 2019 · El Paso, Tx
- A•••••• A••••••• S••••••• formerAug 27, 2014 to Feb 22, 2019 · El Paso, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 12, 2013 to Sep 4, 2014 · El Paso, Tx
- 1•• G••••• A••••••• I•• formerAug 12, 2008 to Aug 13, 2013 · El Paso, Tx
- E•••••••• A•••••••• L•• national BDSep 2, 2004 to Aug 18, 2008 · New York, Ny
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Feb 17, 2023, registered Feb 14, 2023 (-3 days) · Affiliated broker-dealer or bank to another
- 1•• G••••• A••••••• I•• to A•••••• A••••••• S•••••••left Oct 25, 2019, registered Oct 25, 2019 (0 days) · corporate re-registration, not a move
- A•••••• A••••••• S••••••• to 1•• G••••• A••••••• I••left Feb 22, 2019, registered Feb 11, 2019 (-11 days) · channel change inside one enterprise, not a move
- C••••• I••••••••• A••••••• L•• to A•••••• A••••••• S•••••••left Sep 4, 2014, registered Aug 27, 2014 (-8 days) · Other
- 1•• G••••• A••••••• I•• to C••••• I••••••••• A••••••• L••left Aug 13, 2013, registered Aug 12, 2013 (-1 days) · Other
- E•••••••• A•••••••• L•• to 1•• G••••• A••••••• I••left Aug 18, 2008, registered Aug 12, 2008 (-6 days) · Other
- C•••••• L•••••• M••• left A•••••• A••••••• S••••••• for C••••• I••••••••• A••••••• L•• (registered 2023-02-14)Feb 17, 2023 · Advisor changed firm · fact
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