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•••••• D•••• L••••
- V••••••• A•••••••• I••• BD affiliated currentsince Dec 17, 2021 · Plano, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Jun 12, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerAug 4, 2011 to Jan 8, 2018 · Addison, Tx
- E••••• J•••• national BDJul 23, 2008 to Jan 12, 2011 · St Louis, Mo
- U••• I••••••••• S••••••• C•••••• to V••••••• A•••••••• I•••left Jun 12, 2020, registered Dec 17, 2021 (553 days) · Other
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- E••••• J•••• to U••• F•••••••• P••••••• S•••••••left Jan 12, 2011, registered Aug 4, 2011 (204 days) · Affiliated broker-dealer or bank to a newly registered adviser
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