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.
R••• V•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 22, 2021 · San Antonio, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerDec 14, 2018 to Aug 23, 2021 · San Antonio, Tx
- F•••• I••••••••• S••••••• BD affiliatedOct 6, 2017 to Dec 3, 2018 · San Antonio, Tx
- O•••• W•••••• I••• BD affiliatedOct 1, 2010 to Sep 19, 2011 · Scottsdale, Az
- P•• M•••••• A•••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Aug 23, 2021, registered Dec 22, 2021 (121 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- F•••• I••••••••• S••••••• to P•• M•••••• A•••••• S••••••••• I•••left Dec 3, 2018, registered Dec 14, 2018 (11 days) · Affiliated broker-dealer or bank to another
- O•••• W•••••• I••• to F•••• I••••••••• S•••••••left Sep 19, 2011, registered Oct 6, 2017 (2209 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address