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•••••• A•••• S•••••
- I••••••• A••••••• S•••••••• L•• mixed wealth currentsince Dec 12, 2023 · Miami, Fl
- P•• M•••••• A•••••• S••••••••• I••• formerJan 11, 2022 to Nov 30, 2023 · Laredo, Tx
- P•• W••••• M••••••••• BD affiliatedSep 20, 2021 to Nov 30, 2023 · Laredo, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Dec 31, 2021 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedApr 26, 2010 to Oct 15, 2010 · Laredo, Tx
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedNov 2, 2009 to Mar 15, 2010 · Laredo, Tx
- P•• M•••••• A•••••• S••••••••• I••• to I••••••• A••••••• S•••••••• L••left Nov 30, 2023, registered Dec 12, 2023 (12 days) · RIA to RIA · moved with a team
- P•• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Nov 30, 2023, registered Jan 11, 2022 (-688 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Dec 31, 2021, registered Sep 20, 2021 (-102 days) · Affiliated broker-dealer or bank to another · moved with a team
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••left Mar 15, 2010, registered Apr 26, 2010 (42 days) · corporate re-registration, not a move
- M•••••• A•••• S••••• left P•• M•••••• A•••••• S••••••••• I••• for I••••••• A••••••• S•••••••• L•• (registered 2023-12-12)Nov 30, 2023 · Advisor changed firm · fact
- M•••••• A•••• S••••• left P•• W••••• M••••••••• for P•• M•••••• A•••••• S••••••••• I••• (registered 2022-01-11)Nov 30, 2023 · 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address