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•••••• G•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 13, 2014 · San Antonio, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 24, 2014 · San Antonio, Tx
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Oct 12, 2006 · New York, Ny
- B••• O•• S••••••••• C••••••••• unclassifiedFeb 27, 2006 to Sep 27, 2006 · Chicago, Il
- C•••• I••••••••• S••••••• C•••• formerJul 15, 2003 to Oct 1, 2012 · San Antonio, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJan 2, 2003 to Jul 18, 2003 · San Antonio, Tx
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 24, 2014, registered Nov 13, 2014 (-11 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to B••• O•• S••••••••• C•••••••••left Oct 1, 2012, registered Feb 27, 2006 (-2408 days) · Other
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 12, 2006, registered Oct 1, 2012 (2181 days) · Other
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••left Jul 18, 2003, registered Jul 15, 2003 (-3 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