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.
L••••• Z•••••••• G•••
- F•••• I••••••••• S••••••• BD affiliated currentsince Jan 27, 2022 · San Antonio, Tx
- F•••• I••••••••• S••••••• BD affiliatedJun 17, 2017 to Dec 31, 2021 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedFeb 22, 2008 to Oct 24, 2008 · Austin, Tx
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedAug 27, 2007 to Jul 17, 2008 · Cedar Park, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 11, 2006 to Jun 14, 2007 · Austin, Tx
- L•• F•••••••• L•• to F•••• I••••••••• S•••••••left Oct 24, 2008, registered Jun 17, 2017 (3158 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 17, 2008, registered Feb 22, 2008 (-146 days) · Other
- C•••• I••••••••• S••••••• C•••• to U•••• F•••••••• S••••••• G••••• I•••left Jun 14, 2007, registered Aug 27, 2007 (74 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address