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.
- T•• W••••• M••••••••• L•• other currentsince Dec 6, 2021 · Houston, Tx
- A••••••• W••••• A••••••• BD affiliatedNov 21, 2018 to Dec 10, 2019 · Harlingen, Tx
- L•• F•••••••• L•• BD affiliatedDec 21, 2011 to May 15, 2018 · Brownsville, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Oct 3, 2011 · Brownsville, Tx
- W•••• F•••• I••••••••• L•• unclassifiedMar 27, 2007 to Jan 3, 2011 · Brownsville, Tx
- A••••••• W••••• A••••••• to T•• W••••• M••••••••• L••left Dec 10, 2019, registered Dec 6, 2021 (727 days) · RIA to RIA · moved with a team
- L•• F•••••••• L•• to A••••••• W••••• A•••••••left May 15, 2018, registered Nov 21, 2018 (190 days) · RIA to a newly registered adviser · moved with a team
- W•••• F•••• A••••••• to L•• F•••••••• L••left Oct 3, 2011, registered Dec 21, 2011 (79 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 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
- Other adviserderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address