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.
B•••••• A••••••• B•••••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 1, 2021 · Evans, Ga
- I•• F•••••••• P••••••• state registeredApr 25, 2019 to Feb 16, 2021 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedMar 29, 2018 to Feb 4, 2021 · Corpus Christi, Tx
- C••••• A••••••• L•• formerJan 9, 2006 to Apr 2, 2018 · Corpus Christi, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 17, 2005 to Nov 17, 2005 · Corpus Christi, Tx
- I•• F•••••••• P••••••• to A••••••• A••••••• S•••••••• L••left Feb 16, 2021, registered Nov 1, 2021 (258 days) · Other
- L•• F•••••••• L•• to I•• F•••••••• P•••••••left Feb 4, 2021, registered Apr 25, 2019 (-651 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C••••• A••••••• L•• to L•• F•••••••• L••left Apr 2, 2018, registered Mar 29, 2018 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to C••••• A••••••• L••left Nov 17, 2005, registered Jan 9, 2006 (53 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address