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.
S•••• C••••••••• V••••
- W•••• F•••• A••••••• wirehouse currentsince May 25, 2012 · Boerne, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to May 29, 2012 · San Antonio, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 13, 2006 to Oct 23, 2009 · Schertz, Tx
- B•• M••••• S••••••••• C••••••••• otherNov 4, 2003 to Oct 10, 2005 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left May 29, 2012, registered May 25, 2012 (-4 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- B•• M••••• S••••••••• C••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 10, 2005, registered Jun 13, 2006 (246 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address