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.
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J••• J••••• D•••••••
- S•••• O•• W••••• M••••••••• L•• independent RIA currentsince Sep 12, 2019 · San Antonio, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 19, 2015 to Jun 11, 2018 · San Antonio, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Nov 10, 2015 · San Antonio, Tx
- C••••• I••••••••• S••••••• L•• formerSep 19, 2007 to Jan 21, 2014 · New Braunfels, Tx
- S••• I••••••••• C•••••• independent RIANov 21, 2006 to May 22, 2007 · San Antonio, Tx
- C••••• A•••••• N••••••• L•• formerAug 18, 2003 to May 8, 2007 · Mishawaka, In
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••• O•• W••••• M••••••••• L••left Jun 11, 2018, registered Sep 12, 2019 (458 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 10, 2015, registered Nov 19, 2015 (9 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- S••• I••••••••• C•••••• to C••••• I••••••••• S••••••• L••left May 22, 2007, registered Sep 19, 2007 (120 days) · Other
- C••••• A•••••• N••••••• L•• to S••• I••••••••• C••••••left May 8, 2007, registered Nov 21, 2006 (-168 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address