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.
A•••••• E•• M••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jul 29, 2019 · Mcallen, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 18, 2016 to Jul 29, 2019 · Harlingen, Tx
- B••• I••••••••• S•••••••• I••• formerJan 13, 2016 to Oct 3, 2016 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedSep 3, 2014 to Jan 25, 2016 · Richmond, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerApr 25, 2014 to Sep 17, 2014 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Jul 29, 2019, registered Jul 29, 2019 (0 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 3, 2016, registered Oct 18, 2016 (15 days) · Other
- L•• F•••••••• L•• to B••• I••••••••• S•••••••• I•••left Jan 25, 2016, registered Jan 13, 2016 (-12 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to L•• F•••••••• L••left Sep 17, 2014, registered Sep 3, 2014 (-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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address