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.
D••••• E•••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 6, 2018 · San Antonio, Tx
- S••• I••••••••• C•••••• independent RIAJun 1, 2011 to Aug 7, 2018 · San Antonio, Tx
- C•••• I••••••••• S••••••• C•••• formerOct 7, 2005 to Jun 2, 2011 · San Antonio, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMar 28, 2005 to Sep 23, 2005 · San Antonio, Tx
- S••• I••••••••• C•••••• to L•• F•••••••• L••left Aug 7, 2018, registered Aug 6, 2018 (-1 days) · RIA to RIA · moved with a team
- C•••• I••••••••• S••••••• C•••• to S••• I••••••••• C••••••left Jun 2, 2011, registered Jun 1, 2011 (-1 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••left Sep 23, 2005, registered Oct 7, 2005 (14 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