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.
M••• C••••••••• F•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 25, 2018 · Corpus Christi, Tx
- I••••••••• P••••••••• I••• formerNov 13, 2013 to Sep 24, 2018 · San Antonio, Tx
- S••••••• I••••••••• I••• formerJul 25, 2012 to Nov 5, 2013 · Corpus Christi, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 25, 2003 to Jan 29, 2009 · San Antonio, Tx
- C••• F•••••••• S•••••••• L••• formerFeb 1, 2001 to Dec 16, 2003 · San Antonio, Tx
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2018, registered Jun 25, 2018 (-91 days) · corporate re-registration, not a move
- S••••••• I••••••••• I••• to I••••••••• P••••••••• I•••left Nov 5, 2013, registered Nov 13, 2013 (8 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Jan 29, 2009, registered Jul 25, 2012 (1273 days) · Other
- C••• F•••••••• S•••••••• L••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 16, 2003, registered Nov 25, 2003 (-21 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address