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••• R•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 8, 2019 · Richmond, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerJan 22, 2013 to Mar 11, 2019 · San Antonio, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 4, 2013 · San Antonio, Tx
- C•••• I••••••••• S••••••• C•••• formerMar 30, 2011 to Oct 1, 2012 · San Antonio, Tx
- E••••• J•••• national BDMay 5, 2009 to Mar 16, 2011 · San Antonio, Tx
- P•• M•••••• A•••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Mar 11, 2019, registered Mar 8, 2019 (-3 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Jan 4, 2013, registered Jan 22, 2013 (18 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
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Mar 16, 2011, registered Mar 30, 2011 (14 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