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••• S•••• E•••••
- A•••• W••••• M••••••••• L•• independent RIA currentsince May 17, 2019 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 15, 2019 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMar 4, 2009 to Jan 8, 2018 · San Antonio, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 19, 2007 to Dec 22, 2008 · Dallas, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDAug 23, 2004 to Aug 30, 2006 · Owings Mills, Md
- U••• I••••••••• S••••••• C•••••• to A•••• W••••• M••••••••• L••left May 15, 2019, registered May 17, 2019 (2 days) · Affiliated broker-dealer or bank to independent RIA
- 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• F•••••••• P••••••• S•••••••left Dec 22, 2008, registered Mar 4, 2009 (72 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 30, 2006, registered Oct 19, 2007 (415 days) · Affiliated broker-dealer or bank to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address