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•••••• R••• C••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 17, 2015 · Pensacola, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 12, 2014 to Jul 23, 2015 · San Antonio, Tx
- H••••••• C•••••• L•• unclassifiedMay 2, 2013 to Jun 27, 2013 · San Antonio, Tx
- A••••••• A•••• M••••••••• I••• mixed wealthOct 18, 2010 to Mar 21, 2011 · Boerne, Tx
- I••••••••• P••••••••• I••• formerAug 28, 2009 to Feb 3, 2010 · San Antonio, Tx
- U•• F•••••••• S••••••• I••• wirehouseFeb 20, 2008 to May 13, 2009 · Corpus Christi, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 23, 2015, registered Jul 17, 2015 (-6 days) · Wirehouse to wirehouse · moved with a team
- H••••••• C•••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 27, 2013, registered Feb 12, 2014 (230 days) · Other
- A••••••• A•••• M••••••••• I••• to H••••••• C•••••• L••left Mar 21, 2011, registered May 2, 2013 (773 days) · Other
- I••••••••• P••••••••• I••• to A••••••• A•••• M••••••••• I•••left Feb 3, 2010, registered Oct 18, 2010 (257 days) · Other
- U•• F•••••••• S••••••• I••• to I••••••••• P••••••••• I•••left May 13, 2009, registered Aug 28, 2009 (107 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address