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••••• R•••• A••• P••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jun 14, 2022 · Westlake, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Dec 31, 2021 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJan 13, 2015 to Jan 8, 2018 · San Antonio, Tx
- W•••••• • R••• formerNov 17, 2014 to Jan 6, 2015 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left Dec 31, 2021, registered Jun 14, 2022 (165 days) · Other
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to U••• F•••••••• P••••••• S•••••••left Jan 6, 2015, registered Jan 13, 2015 (7 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address