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.
J••• A••••• L•••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Jun 17, 2020 · Corpus Christi, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 7, 2017 to Jun 3, 2020 · Corpus Christi, Tx
- A••••• A•• P••••••• S••••••• BD affiliatedApr 10, 2014 to Oct 31, 2015 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJan 2, 2009 to Mar 27, 2014 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJun 12, 2007 to Dec 31, 2008 · San Antonio, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to P•••••••• S••••••••• I•••left Jun 3, 2020, registered Jun 17, 2020 (14 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 31, 2015, registered Apr 7, 2017 (524 days) · Other
- U••• F•••••••• P••••••• S••••••• to A••••• A•• P••••••• S•••••••left Mar 27, 2014, registered Apr 10, 2014 (14 days) · Other
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Dec 31, 2008, registered Jan 2, 2009 (2 days) · corporate re-registration, not a move
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