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.
R•••••• A•••••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Jul 6, 2012 · Shevano, Tx
- L•• F•••••••• L•• BD affiliatedNov 19, 2018 to Feb 4, 2019 · Shavano Park, Tx
- W•••• F•••• A••••••• wirehouseJun 14, 2005 to Jul 5, 2012 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerJan 24, 2003 to Jun 7, 2005 · Houston, Tx
- E•••••••• A•••••••• L•• national BDMay 13, 1999 to Sep 25, 2002 · San Antonio, Tx
- L•• F•••••••• L•• to no registered destinationleft Feb 4, 2019 · Departure, no registered destination
- W•••• F•••• A••••••• to I••••••••• F•••••••• P•••••••left Jul 5, 2012, registered Jul 6, 2012 (1 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Jun 7, 2005, registered Jun 14, 2005 (7 days) · Other
- E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Sep 25, 2002, registered Jan 24, 2003 (121 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address