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.
J•••• A•••••• V••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 7, 2021 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseNov 19, 2014 to Apr 7, 2021 · Houston, Tx
- S••• I••••••••• C•••••• independent RIAJun 13, 2012 to Dec 3, 2014 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseDec 3, 2007 to May 15, 2012 · Corpus Christi, Tx
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 7, 2021, registered May 7, 2021 (30 days) · Wirehouse to wirehouse
- S••• I••••••••• C•••••• to U•• F•••••••• S••••••• I•••left Dec 3, 2014, registered Nov 19, 2014 (-14 days) · Other
- W•••• F•••• A••••••• to S••• I••••••••• C••••••left May 15, 2012, registered Jun 13, 2012 (29 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address