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•••••• A•• E••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 11, 2018 · San Antonio, Tx
- I••••••••• P••••••••• I••• formerMay 11, 2016 to Sep 11, 2018 · San Antonio, Tx
- S•• BD affiliatedApr 14, 2015 to Mar 21, 2016 · San Antonio, Tx
- W•• A•••••••• L• formerNov 25, 2009 to Aug 2, 2013 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJan 2, 2009 to Jul 6, 2009 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMAug 6, 2008 to Dec 31, 2008 · San Antonio, Tx
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 11, 2018, registered Sep 11, 2018 (0 days) · corporate re-registration, not a move
- S•• to I••••••••• P••••••••• I•••left Mar 21, 2016, registered May 11, 2016 (51 days) · Other
- W•• A•••••••• L• to S••left Aug 2, 2013, registered Apr 14, 2015 (620 days) · Other
- U••• F•••••••• P••••••• S••••••• to W•• A•••••••• L•left Jul 6, 2009, registered Nov 25, 2009 (142 days) · Other
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Dec 31, 2008, registered Jan 2, 2009 (2 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address