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.
W•••••• C•••••• J••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jul 12, 2022 · Westlake, Tx
- E••••• J•••• national BDApr 3, 2018 to May 5, 2022 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 11, 2018 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerAug 1, 2008 to Jan 8, 2018 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMApr 23, 2007 to Dec 31, 2008 · San Antonio, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 28, 2004 to Mar 30, 2007 · San Antonio, Tx
- E••••• J•••• to C•••••• S••••• • C••• I•••left May 5, 2022, registered Jul 12, 2022 (68 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to E••••• J••••left May 11, 2018, registered Apr 3, 2018 (-38 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Dec 31, 2008, registered Aug 1, 2008 (-152 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to U••• I••••••••• S••••••• C••••••left Mar 30, 2007, registered Apr 23, 2007 (24 days) · Other
- W•••••• C•••••• J•••••• left E••••• J•••• for C•••••• S••••• • C••• I••• (registered 2022-07-12)May 5, 2022 · Advisor changed firm · fact
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address