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.
K•••••••• A•• C•••
- B••••••• W••••• S•••••••• independent RIA currentsince Nov 16, 2020 · San Antonio, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 1, 2013 to Dec 13, 2018 · San Antonio, Tx
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Dec 13, 2011 · Irvine, Ca
- W••• I••••••••• I••• unclassifiedJan 30, 2009 to May 2, 2009 · San Antonio, Tx
- P•• M•••••• A•••••• S••••••••• I••• to B••••••• W••••• S••••••••left Dec 13, 2018, registered Nov 16, 2020 (704 days) · Affiliated broker-dealer or bank to independent RIA
- C•••• I••••••••• S••••••• C•••• to P•• M•••••• A•••••• S••••••••• I•••left Dec 13, 2011, registered Oct 1, 2013 (658 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address