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.
B••••••• R••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 20, 2023 · San Antonio, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jun 28, 2023 · Boston, Ma
- S•••••••• A••••••• L•• national BDDec 21, 2015 to Jul 13, 2018 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerApr 18, 2005 to Dec 8, 2015 · San Antonio, Tx
- B•• B••••••• C•• unclassifiedMar 23, 2004 to Mar 25, 2005 · Centerville, Ut
- L•• F•••••••• L•• BD affiliatedMar 19, 2002 to Mar 30, 2005 · Bountiful, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• to L•• F•••••••• L••left Jun 28, 2023, registered Jun 20, 2023 (-8 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to S•••••••• A••••••• L••left Dec 8, 2015, registered Dec 21, 2015 (13 days) · Other
- L•• F•••••••• L•• to B•• B••••••• C••left Mar 30, 2005, registered Mar 23, 2004 (-372 days) · Other
- B•• B••••••• C•• to U••• F•••••••• P••••••• S•••••••left Mar 25, 2005, registered Apr 18, 2005 (24 days) · Other
- B••••••• R••• B•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for L•• F•••••••• L•• (registered 2023-06-20)Jun 28, 2023 · Advisor changed firm · fact
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address