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.
L••• A•••••• H••••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 5, 2024 · Mcallen, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDDec 11, 2020 to Oct 28, 2021 · Mcallen, Tx
- E••••• J•••• national BDMay 5, 2017 to Dec 14, 2020 · Weslaco, Tx
- C•••••• O•• A•••••••• L•• formerSep 17, 2015 to May 8, 2017 · Mclean, Va
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Sep 24, 2015 · Mcallen, Tx
- C•••• I••••••••• S••••••• C•••• formerMar 25, 2010 to Oct 1, 2012 · Mcallen, Tx
- W•••••• • R••• formerAug 18, 2009 to Mar 1, 2010 · Corpus Christi, Tx
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 28, 2021, registered Dec 5, 2024 (1134 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Dec 14, 2020, registered Dec 11, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- C•••••• O•• A•••••••• L•• to E••••• J••••left May 8, 2017, registered May 5, 2017 (-3 days) · Other
- J••• M••••• S••••••••• L•• to C•••••• O•• A•••••••• L••left Sep 24, 2015, registered Sep 17, 2015 (-7 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to C•••• I••••••••• S••••••• C••••left Mar 1, 2010, registered Mar 25, 2010 (24 days) · Other
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address