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.
S•••••• J•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Corpus Christi, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 31, 2019 to Jun 28, 2021 · Houston, Tx
- A••••••• A•••• M••••••••• I••• mixed wealthMay 15, 2018 to Jun 7, 2018 · Boerne, Tx
- A••••••• F•••••••• A•••••••• L•• BD affiliatedMar 24, 2014 to Sep 7, 2017 · Universal City, Tx
- U••• F•••••••• P••••••• S••••••• formerDec 17, 2009 to Feb 26, 2014 · San Antonio, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 28, 2008 to May 13, 2009 · Corpus Christi, Tx
- M•• I•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 28, 2021, registered Mar 21, 2024 (997 days) · Affiliated broker-dealer or bank to another
- A••••••• A•••• M••••••••• I••• to M•• I•••••••• S•••••••• L••left Jun 7, 2018, registered May 31, 2019 (358 days) · RIA to affiliated broker-dealer or bank
- A••••••• F•••••••• A•••••••• L•• to A••••••• A•••• M••••••••• I•••left Sep 7, 2017, registered May 15, 2018 (250 days) · Other
- U••• F•••••••• P••••••• S••••••• to A••••••• F•••••••• A•••••••• L••left Feb 26, 2014, registered Mar 24, 2014 (26 days) · Other
- U•• F•••••••• S••••••• I••• to U••• F•••••••• P••••••• S•••••••left May 13, 2009, registered Dec 17, 2009 (218 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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