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•••• C•••• K•••••••
- S••••• F•••••••• M••••••••• independent RIA currentsince Feb 23, 2016 · San Antonio, Tx
- R•• A•••••••• L•• independent RIAOct 13, 2015 to Mar 3, 2016 · San Antonio, Tx
- S••••• F•••••••• M••••••••• independent RIAJan 1, 2014 to Oct 21, 2015 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedDec 18, 2012 to Mar 4, 2016 · Bandera, Tx
- E•••• S••••••••• L•• BD affiliatedJun 21, 2011 to Jan 2, 2013 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJan 2, 2009 to Feb 23, 2011 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMDec 7, 2007 to Dec 31, 2008 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJun 29, 2006 to Dec 7, 2007 · San Antonio, Tx
- L•• F•••••••• L•• to S••••• F•••••••• M•••••••••left Mar 4, 2016, registered Jan 1, 2014 (-793 days) · Other
- R•• A•••••••• L•• to S••••• F•••••••• M•••••••••left Mar 3, 2016, registered Feb 23, 2016 (-9 days) · Other
- S••••• F•••••••• M••••••••• to R•• A•••••••• L••left Oct 21, 2015, registered Oct 13, 2015 (-8 days) · Other
- E•••• S••••••••• L•• to L•• F•••••••• L••left Jan 2, 2013, registered Dec 18, 2012 (-15 days) · Other
- U••• F•••••••• P••••••• S••••••• to E•••• S••••••••• L••left Feb 23, 2011, registered Jun 21, 2011 (118 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
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Dec 7, 2007, registered Dec 7, 2007 (0 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address