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••••• H•••••••• A••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 9, 2018 · Ontario, Oh
- I••••••••• P••••••••• I••• formerJul 16, 2018 to Sep 26, 2018 · San Antonio, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 26, 2008 to May 10, 2018 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMSep 17, 2002 to Nov 13, 2002 · San Antonio, Tx
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 26, 2018, registered Aug 9, 2018 (-48 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to I••••••••• P••••••••• I•••left May 10, 2018, registered Jul 16, 2018 (67 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to M•• I•••••••• S•••••••• L••left Nov 13, 2002, registered Mar 26, 2008 (1960 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address