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••••••• C•••••• B••••••
- L•••• F••• A••••••• S••••••• BD affiliated currentsince Nov 12, 2018 · El Paso, Tx
- L•• F•••••••• L•• BD affiliatedOct 26, 2018 to Oct 26, 2018 · El Paso, Tx
- O•••• F•• I••• formerAug 29, 2006 to Nov 2, 2018 · El Paso, Tx
- O•••• F•• I••• to L•• F•••••••• L••left Nov 2, 2018, registered Oct 26, 2018 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to L•••• F••• A••••••• S•••••••left Oct 26, 2018, registered Nov 12, 2018 (17 days) · RIA to affiliated broker-dealer or bank
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address