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••••• C•••••• H•••
- C•••••• A••••••• W••••• M••••••••• state registered currentsince Jul 14, 2021 · San Antonio, Tx
- I••••••••• F•••••••• P••••••• BD affiliatedFeb 3, 2012 to Jun 7, 2021 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedMar 16, 2009 to Feb 7, 2012 · Shavano Park, Tx
- O•••• F•• I••• formerJun 1, 2006 to Mar 26, 2009 · San Antonio, Tx
- M•• F•••••••• S•••••••• I••• formerMar 4, 2004 to May 5, 2006 · San Antonio, Tx
- I••••••••• F•••••••• P••••••• to C•••••• A••••••• W••••• M•••••••••left Jun 7, 2021, registered Jul 14, 2021 (37 days) · Affiliated broker-dealer or bank to a state-registered adviser
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Feb 7, 2012, registered Feb 3, 2012 (-4 days) · Other
- O•••• F•• I••• to L•• F•••••••• L••left Mar 26, 2009, registered Mar 16, 2009 (-10 days) · Other
- M•• F•••••••• S•••••••• I••• to O•••• F•• I•••left May 5, 2006, registered Jun 1, 2006 (27 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