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.
T••••• P•••••• B•••••••
- S•••••• S••••••••• BD affiliated currentsince Dec 15, 2010 · Dallas, Tx
- E••••• I••••••••• A••••••• unclassifiedAug 7, 2009 to Jan 27, 2011 · Austin, Tx
- E••••• S••••••••• I••• unclassifiedDec 8, 2006 to Dec 31, 2010 · Dallas, Tx
- H•••••• S••••••••• I••• BD affiliatedJan 16, 1995 to Dec 12, 2006 · Dallas, Tx
- E••••• I••••••••• A••••••• to S•••••• S•••••••••left Jan 27, 2011, registered Dec 15, 2010 (-43 days) · Other
- E••••• S••••••••• I••• to E••••• I••••••••• A•••••••left Dec 31, 2010, registered Aug 7, 2009 (-511 days) · Other
- H•••••• S••••••••• I••• to E••••• S••••••••• I•••left Dec 12, 2006, registered Dec 8, 2006 (-4 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address