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.
T••••••• R•• B•••••••
- C••• S••••• P••••••• BD affiliated currentsince Dec 6, 2013 · San Antonio, Tx
- R••••••••• W••••• M••••••••• formerMay 18, 2009 to Dec 9, 2013 · San Antonio, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 11, 2002 to May 13, 2009 · San Antonio, Tx
- R••••••••• W••••• M••••••••• to C••• S••••• P•••••••left Dec 9, 2013, registered Dec 6, 2013 (-3 days) · Other
- U•• F•••••••• S••••••• I••• to R••••••••• W••••• M•••••••••left May 13, 2009, registered May 18, 2009 (5 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address