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•••••• L••••• M•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 17, 2017 · San Antonio, Tx
- O•••• I••••••••• I••• BD affiliatedMay 1, 2014 to Aug 17, 2017 · San Antonio, Tx
- S••• I••••••••• C•••••• independent RIAJan 11, 2010 to May 1, 2014 · San Antonio, Tx
- I••••••••• P••••••••• I••• formerAug 18, 2008 to Dec 2, 2009 · Oklahoma City, Ok
- O•••• I••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 17, 2017, registered Aug 17, 2017 (0 days) · Other
- S••• I••••••••• C•••••• to O•••• I••••••••• I•••left May 1, 2014, registered May 1, 2014 (0 days) · Other
- I••••••••• P••••••••• I••• to S••• I••••••••• C••••••left Dec 2, 2009, registered Jan 11, 2010 (40 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address