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.
M•••••• E••••• F•••••
- H•••••• S••••••••• I••• BD affiliated currentsince Aug 21, 2015 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 25, 2015 · Dallas, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 4, 2005 to Oct 23, 2009 · Addison, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Nov 4, 2005 · Richardson, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedApr 19, 2005 to Jul 6, 2005 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 13, 2004 to Sep 8, 2004 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••• S••••••••• I•••left Aug 25, 2015, registered Aug 21, 2015 (-4 days) · Other · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 4, 2005, registered Nov 4, 2005 (0 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O•• S••••••••• C•••••••••left Sep 8, 2004, registered Apr 19, 2005 (223 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address