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.
O•••• O•••••• S••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Dec 8, 2023 · Mcallen, Tx
- L•• F•••••••• L•• BD affiliatedAug 1, 2018 to Dec 18, 2023 · Mcallen, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerDec 9, 2016 to Aug 23, 2018 · Mcallen, Tx
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Dec 18, 2023, registered Dec 8, 2023 (-10 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to L•• F•••••••• L••left Aug 23, 2018, registered Aug 1, 2018 (-22 days) · Affiliated broker-dealer or bank to independent RIA
- O•••• O•••••• S•••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-12-08)Dec 18, 2023 · Advisor changed firm · fact
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