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.
W••••• R•• W••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 10, 2013 · San Antonio, Tx
- I••••••••• P••••••••• I••• formerOct 1, 2008 to Jul 29, 2013 · San Antonio, Tx
- M••••• S•••••• • C•• L•• unclassifiedDec 21, 2007 to Sep 5, 2008 · San Antonio, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDNov 5, 2007 to Dec 10, 2007 · San Antonio, Tx
- I••••••••• P••••••••• I••• to L•• F•••••••• L••left Jul 29, 2013, registered Jul 10, 2013 (-19 days) · Other
- M••••• S•••••• • C•• L•• to I••••••••• P••••••••• I•••left Sep 5, 2008, registered Oct 1, 2008 (26 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M••••• S•••••• • C•• L••left Dec 10, 2007, registered Dec 21, 2007 (11 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