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.
D••••• W• L••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 20, 2024 · San Antonio, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerMay 22, 2019 to Jun 2, 2021 · San Antonio, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 3, 2003 to Apr 28, 2009 · San Antonio, Tx
- M••••• S•••••• D• I••• unclassifiedOct 19, 1998 to Jul 15, 2003 · Wichita Falls, Tx
- P•• M•••••• A•••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 2, 2021, registered Feb 20, 2024 (993 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Apr 28, 2009, registered May 22, 2019 (3676 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 15, 2003, registered Sep 3, 2003 (50 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address