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.
C•••••• H•••••• M•••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · San Antonio, Tx
- S••••••• I••••••••• I••• formerDec 2, 2016 to Nov 2, 2018 · San Antonio, Tx
- W•••••• • R••• formerNov 30, 2012 to Dec 8, 2016 · San Antonio, Tx
- E••••• J•••• national BDFeb 23, 2010 to Dec 3, 2012 · San Antonio, Tx
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to S••••••• I••••••••• I•••left Dec 8, 2016, registered Dec 2, 2016 (-6 days) · Other
- E••••• J•••• to W•••••• • R•••left Dec 3, 2012, registered Nov 30, 2012 (-3 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address