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.
A••••• A••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · New Braunfels, Tx
- C•••• I••••••••• S••••••• C•••• formerMay 6, 2011 to Oct 1, 2012 · Laredo, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 29, 2009 to Apr 7, 2011 · San Antonio, Tx
- A••••••• A•••• M••••••••• I••• mixed wealthJun 1, 2009 to Sep 16, 2009 · Boerne, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 17, 2008 to Mar 25, 2009 · San Antonio, Tx
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Apr 7, 2011, registered May 6, 2011 (29 days) · Other
- A••••••• A•••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 16, 2009, registered Sep 29, 2009 (13 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A••••••• A•••• M••••••••• I•••left Mar 25, 2009, registered Jun 1, 2009 (68 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address