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••••••• B•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Nov 16, 2021 · Westlake, Tx
- J••• M••••• S••••••••• L•• wirehouseMar 4, 2021 to Sep 18, 2021 · San Antonio, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 25, 2018 to Jan 22, 2021 · Southlake, Tx
- T• A••••••••• I••• formerJun 25, 2018 to Jan 22, 2021 · Westlake, Tx
- J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 18, 2021, registered Nov 16, 2021 (59 days) · Wirehouse to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 22, 2021, registered Jun 25, 2018 (-942 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 22, 2021, registered Jun 25, 2018 (-942 days) · Other · moved with a team
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address