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•••• P••••••• C••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jun 21, 2018 · San Antonio, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 5, 2015 to Jun 14, 2018 · Schertz, Tx
- S••• I••••••••• C•••••• independent RIAJan 5, 2015 to Jun 23, 2015 · San Antonio, Tx
- E••••• J•••• national BDSep 23, 2013 to Jan 6, 2015 · San Antonio, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 14, 2018, registered Jun 21, 2018 (7 days) · Wirehouse to affiliated broker-dealer or bank
- S••• I••••••••• C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 23, 2015, registered Aug 5, 2015 (43 days) · Other
- E••••• J•••• to S••• I••••••••• C••••••left Jan 6, 2015, registered Jan 5, 2015 (-1 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address