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.
C••••• R•••••• S••••
- M•••••• F•••••••• S••••••• C••••••••• state registered currentsince Nov 13, 2007 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedJan 4, 2006 to Mar 19, 2007 · San Antonio, Tx
- W•••••• • R••• formerFeb 27, 2003 to Dec 20, 2005 · San Antonio, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDNov 13, 2002 to Jan 15, 2003 · San Antonio, Tx
- L•• F•••••••• L•• to M•••••• F•••••••• S••••••• C•••••••••left Mar 19, 2007, registered Nov 13, 2007 (239 days) · Other
- W•••••• • R••• to L•• F•••••••• L••left Dec 20, 2005, registered Jan 4, 2006 (15 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Jan 15, 2003, registered Feb 27, 2003 (43 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address