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.
K••• V•• B•••••••
- E••••• J•••• national BD currentsince Jan 18, 2019 · Shavano Park, Tx
- S••• I••••••••• C•••••• independent RIAMay 12, 2015 to Jan 17, 2019 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerAug 9, 2004 to May 8, 2015 · San Antonio, Tx
- S••• I••••••••• C•••••• to E••••• J••••left Jan 17, 2019, registered Jan 18, 2019 (1 days) · RIA to affiliated broker-dealer or bank
- U••• F•••••••• P••••••• S••••••• to S••• I••••••••• C••••••left May 8, 2015, registered May 12, 2015 (4 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address