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•••• K•••• S••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 21, 2018 · San Antonio, Tx
- C••••• I••••••••• S••••••• L•• formerJun 11, 2007 to Jul 25, 2007 · Bryan, Tx
- C••••• I••••••••• S••••••• L•• formerMay 30, 2007 to Jun 11, 2007 · Bryan, Tx
- I••••••••• P••••••••• I••• formerMay 25, 2007 to Oct 8, 2018 · College Station, Tx
- D•• I••••••• S••••••• unclassifiedJul 27, 2006 to May 29, 2007 · Caldwell, Tx
- I••••••••• P••••••••• I••• to C••••• I••••••••• S••••••• L••left Oct 8, 2018, registered May 30, 2007 (-4149 days) · Other
- C••••• I••••••••• S••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 25, 2007, registered Jun 21, 2018 (3984 days) · Other
- D•• I••••••• S••••••• to I••••••••• P••••••••• I•••left May 29, 2007, registered May 25, 2007 (-4 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address