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.
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- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 5, 2020 · San Antonio, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 28, 2017 to Nov 29, 2019 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerApr 12, 2013 to Mar 17, 2017 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMAug 13, 2008 to Apr 16, 2013 · San Antonio, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Nov 29, 2019, registered Mar 5, 2020 (97 days) · Wirehouse to wirehouse · moved with a team
- U••• F•••••••• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 17, 2017, registered Feb 28, 2017 (-17 days) · Other
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Apr 16, 2013, registered Apr 12, 2013 (-4 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address