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•••••• M••••••
- V••••••• A•••••••• I••• BD affiliated currentsince Jan 4, 2022 · Plano, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerJun 10, 2020 to Jun 2, 2021 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseNov 6, 2019 to Mar 17, 2020 · San Antonio, Tx
- P•• M•••••• A•••••• S••••••••• I••• to V••••••• A•••••••• I•••left Jun 2, 2021, registered Jan 4, 2022 (216 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to P•• M•••••• A•••••• S••••••••• I•••left Mar 17, 2020, registered Jun 10, 2020 (85 days) · Wirehouse 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address