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.
M•••••• J••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Conroe, Tx
- O•••• F•• I••• formerFeb 5, 2024 to Jan 24, 2025 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedJan 28, 2022 to Feb 7, 2024 · Austin, Tx
- O•••• F•• I••• formerSep 8, 2017 to Jan 28, 2022 · San Antonio, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 1, 2016 to Sep 11, 2017 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerNov 3, 2006 to Feb 13, 2008 · San Antonio, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerSep 14, 2005 to Nov 1, 2006 · San Antonio, Tx
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to O•••• F•• I•••left Feb 7, 2024, registered Feb 5, 2024 (-2 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to L•• F•••••••• L••left Jan 28, 2022, registered Jan 28, 2022 (0 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to O•••• F•• I•••left Sep 11, 2017, registered Sep 8, 2017 (-3 days) · Other
- U••• F•••••••• P••••••• S••••••• to M•• I•••••••• S•••••••• L••left Feb 13, 2008, registered Sep 1, 2016 (3123 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Nov 1, 2006, registered Nov 3, 2006 (2 days) · Other
- M•••••• J•••••• left L•• F•••••••• L•• for O•••• F•• I••• (registered 2024-02-05)Feb 7, 2024 · Advisor changed firm · fact
- M•••••• J•••••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2022-01-28)Jan 28, 2022 · Advisor changed firm · fact
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