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.
I••••• E••••• R•••• R•••••
- L•• F•••••••• L•• BD affiliated currentsince May 27, 2008 · Laredo, Tx
- I••• S••••••••• I••• unclassifiedOct 23, 2002 to Jan 31, 2008 · Laredo, Tx
- U•• F•••••••• S••••••• I••• wirehouseAug 22, 2001 to Oct 1, 2002 · San Antonio, Tx
- I••• S••••••••• I••• to L•• F•••••••• L••left Jan 31, 2008, registered May 27, 2008 (117 days) · Other
- U•• F•••••••• S••••••• I••• to I••• S••••••••• I•••left Oct 1, 2002, registered Oct 23, 2002 (22 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address