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.
A••••• G••••••• T•••••
- C•••••• S••••• • C••• I••• national BD currentsince Nov 18, 2021 · Lone Tree, Co
- T••••••• C••••••• L•• formerJan 2, 2020 to Sep 27, 2021 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Feb 1, 2019 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerApr 18, 2013 to Jan 8, 2018 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMSep 8, 2011 to Apr 22, 2013 · San Antonio, Tx
- I••••••••• A••••••• S••••••• I•• formerAug 1, 2006 to Aug 30, 2011 · San Antonio, Tx
- O•••• F•• I••• formerMay 9, 2003 to Aug 2, 2006 · San Antonio, Tx
- M••••• S•••••• D• I••• unclassifiedAug 15, 2002 to Apr 25, 2003 · San Antonio, Tx
- T••••••• C••••••• L•• to C•••••• S••••• • C••• I•••left Sep 27, 2021, registered Nov 18, 2021 (52 days) · RIA to affiliated broker-dealer or bank
- U••• I••••••••• S••••••• C•••••• to T••••••• C••••••• L••left Feb 1, 2019, registered Jan 2, 2020 (335 days) · Affiliated broker-dealer or bank to independent RIA
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Apr 22, 2013, registered Apr 18, 2013 (-4 days) · corporate re-registration, not a move
- I••••••••• A••••••• S••••••• I•• to U••• I••••••••• S••••••• C••••••left Aug 30, 2011, registered Sep 8, 2011 (9 days) · Other
- O•••• F•• I••• to I••••••••• A••••••• S••••••• I••left Aug 2, 2006, registered Aug 1, 2006 (-1 days) · Other
- M••••• S•••••• D• I••• to O•••• F•• I•••left Apr 25, 2003, registered May 9, 2003 (14 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