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•••••• T•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Mcallen, Tx
- W•••••• • R••• formerFeb 24, 2015 to Jul 21, 2021 · San Antonio, Tx
- I••••••••• P••••••••• I••• formerJun 10, 2009 to Mar 11, 2015 · Zanesville, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDAug 1, 2002 to Jun 1, 2009 · Austin, Tx
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- I••••••••• P••••••••• I••• to W•••••• • R•••left Mar 11, 2015, registered Feb 24, 2015 (-15 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to I••••••••• P••••••••• I•••left Jun 1, 2009, registered Jun 10, 2009 (9 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address