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•••• F••••
- F•••• A••••• L•• state registered currentsince Mar 12, 2020 · New Braunfels, Tx
- P•• F•••••••• G•••• independent RIAJun 13, 2016 to Nov 13, 2019 · San Antonio, Tx
- A•••••• R••••••• C•••••• independent RIADec 3, 2013 to Sep 14, 2016 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedFeb 6, 2013 to Oct 29, 2015 · San Antonio, Tx
- P•• F•••••••• G•••• to F•••• A••••• L••left Nov 13, 2019, registered Mar 12, 2020 (120 days) · RIA to a state-registered adviser
- A•••••• R••••••• C•••••• to P•• F•••••••• G••••left Sep 14, 2016, registered Jun 13, 2016 (-93 days) · Other · moved with a team
- L•• F•••••••• L•• to A•••••• R••••••• C••••••left Oct 29, 2015, registered Dec 3, 2013 (-695 days) · Other · moved with a team
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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address