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••• M•••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 15, 2016 · San Antonio, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 29, 2010 to Apr 5, 2016 · San Antonio, Tx
- U•• F•••••••• S••••••• I••• wirehouseFeb 16, 2007 to Feb 5, 2010 · San Antonio, Tx
- M••••• S•••••• D• I••• unclassifiedOct 12, 2004 to Feb 20, 2007 · Corpus Christi, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 5, 2016, registered Apr 15, 2016 (10 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 5, 2010, registered Jan 29, 2010 (-7 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Feb 20, 2007, registered Feb 16, 2007 (-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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address