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.
- C••••••• institutional currentsince Jun 29, 2023 · Dallas, Tx
- S••••••• W••••• M••••••••• L•• formerNov 21, 2019 to Oct 25, 2023 · Dallas, Tx
- M• H••••••• S••••••••• I••• BD affiliatedSep 8, 2014 to Oct 1, 2018 · Dallas, Tx
- C•••••• P••• A•••••••• I••• unclassifiedJan 2, 1995 to Aug 24, 2005 · Dallas, Tx
- S••••••• W••••• M••••••••• L•• to C•••••••left Oct 25, 2023, registered Jun 29, 2023 (-118 days) · Other · moved with a team
- M• H••••••• S••••••••• I••• to S••••••• W••••• M••••••••• L••left Oct 1, 2018, registered Nov 21, 2019 (416 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• P••• A•••••••• I••• to M• H••••••• S••••••••• I•••left Aug 24, 2005, registered Sep 8, 2014 (3302 days) · Other
- P••••• M••• D•••••• left S••••••• W••••• M••••••••• L•• for Captrust (registered 2023-06-29)Oct 25, 2023 · Advisor changed firm · fact
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
- Institutional managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address