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••••••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 15, 2022 · El Paso, Tx
- S••• I••••••••• C•••••• independent RIAMar 11, 2009 to Jun 20, 2022 · San Antonio, Tx
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedNov 10, 2008 to Jan 28, 2009 · El Paso, Tx
- W•••• F•••• I••••••••• L•• unclassifiedJun 24, 2008 to Nov 3, 2008 · El Paso, Tx
- S••• I••••••••• C•••••• to L•• F•••••••• L••left Jun 20, 2022, registered Jul 15, 2022 (25 days) · RIA to RIA
- B••• C•••••• I••••••••• S••••••••• I•• to S••• I••••••••• C••••••left Jan 28, 2009, registered Mar 11, 2009 (42 days) · Other
- W•••• F•••• I••••••••• L•• to B••• C•••••• I••••••••• S••••••••• I••left Nov 3, 2008, registered Nov 10, 2008 (7 days) · Other
- S••••••• C••••• left S••• I••••••••• C•••••• for L•• F•••••••• L•• (registered 2022-07-15)Jun 20, 2022 · Advisor changed firm · fact
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