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.
J•••• C•••• E•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jul 1, 2019 · Mission, Tx
- L•• F•••••••• L•• BD affiliatedDec 17, 2015 to Jul 25, 2019 · Austin, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 26, 2015 to Dec 18, 2015 · Austin, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Aug 24, 2015 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedApr 5, 2010 to Oct 15, 2010 · Mission, Tx
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedJan 1, 2010 to Mar 12, 2010 · San Juan, Tx
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Jul 25, 2019, registered Jul 1, 2019 (-24 days) · RIA to affiliated broker-dealer or bank
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Dec 18, 2015, registered Dec 17, 2015 (-1 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 24, 2015, registered Aug 26, 2015 (2 days) · Other
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••left Mar 12, 2010, registered Apr 5, 2010 (24 days) · corporate re-registration, not a move
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