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.
D••••• M•••••••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 2, 2021 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMAug 18, 2017 to Aug 14, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerAug 7, 2007 to Aug 28, 2015 · San Antonio, Tx
- B••• A•••••••• L•• formerMar 7, 2006 to Jul 27, 2007 · Aurora, Co
- C•••••• C••••••••• unclassifiedNov 22, 2002 to Oct 26, 2004 · Greenwood Village, Co
- L•• F•••••••• L•• BD affiliatedOct 25, 2002 to Jul 9, 2004 · Greenwood Village, Co
- W•••••• • R••• formerJul 11, 2002 to Oct 15, 2002 · Englewood, Co
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left Aug 14, 2020, registered Aug 2, 2021 (353 days) · Other
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Aug 28, 2015, registered Aug 18, 2017 (721 days) · channel change inside one enterprise, not a move · moved with a team
- B••• A•••••••• L•• to U••• F•••••••• P••••••• S•••••••left Jul 27, 2007, registered Aug 7, 2007 (11 days) · Other
- C•••••• C••••••••• to B••• A•••••••• L••left Oct 26, 2004, registered Mar 7, 2006 (497 days) · Other
- L•• F•••••••• L•• to C•••••• C•••••••••left Jul 9, 2004, registered Nov 22, 2002 (-595 days) · Other
- W•••••• • R••• to L•• F•••••••• L••left Oct 15, 2002, registered Oct 25, 2002 (10 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