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.
A••••• J•••• K••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Jun 9, 2021 · Austin, Tx
- D••••••••• F••• A••••••• L• asset managerApr 5, 2019 to Jun 2, 2021 · Austin, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMAug 20, 2014 to Mar 29, 2019 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJun 13, 2011 to Aug 27, 2014 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseAug 12, 2004 to Apr 13, 2011 · San Antonio, Tx
- D••••••••• F••• A••••••• L• to H•••••••• A•••••••• L••left Jun 2, 2021, registered Jun 9, 2021 (7 days) · Other
- U••• I••••••••• S••••••• C•••••• to D••••••••• F••• A••••••• L•left Mar 29, 2019, registered Apr 5, 2019 (7 days) · Other
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Aug 27, 2014, registered Aug 20, 2014 (-7 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to U••• F•••••••• P••••••• S•••••••left Apr 13, 2011, registered Jun 13, 2011 (61 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address