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.
M•••••• S••••••••• M•••••
- N•••••• A••••••• BD affiliated currentsince Sep 16, 2024 · Georgetown, Tx
- S•••••••• A•••••••• L•• BD affiliatedMay 27, 2020 to Oct 19, 2021 · Miami, Fl
- T••• F•••••••• independent RIAJul 19, 2017 to Oct 15, 2019 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedJul 17, 2017 to Oct 28, 2019 · San Antonio, Tx
- S•••••••• A•••••••• L•• to N•••••• A•••••••left Oct 19, 2021, registered Sep 16, 2024 (1063 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to T••• F••••••••left Oct 28, 2019, registered Jul 19, 2017 (-831 days) · Other
- T••• F•••••••• to S•••••••• A•••••••• L••left Oct 15, 2019, registered May 27, 2020 (225 days) · RIA to affiliated broker-dealer or bank
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address