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.
B••••••• H••••••• D•••
- D••• W••••• M••••••••• L•• state registered currentsince Oct 2, 2014 · Lindale, Tx
- O••• W••••• A•••••••• I••• formerApr 22, 2008 to Dec 31, 2013 · Dallas, Tx
- W•• A•••••••• L• formerJan 17, 2007 to Apr 23, 2008 · Dallas, Tx
- M••••••• I••••••••• N•••••• I••• BD affiliatedJan 3, 2003 to Jan 4, 2007 · Dallas, Tx
- H•••••• S••••••••• I••• BD affiliatedDec 16, 2002 to Jan 3, 2007 · Dallas, Tx
- O••• W••••• A•••••••• I••• to D••• W••••• M••••••••• L••left Dec 31, 2013, registered Oct 2, 2014 (275 days) · Other
- W•• A•••••••• L• to O••• W••••• A•••••••• I•••left Apr 23, 2008, registered Apr 22, 2008 (-1 days) · Other
- M••••••• I••••••••• N•••••• I••• to W•• A•••••••• L•left Jan 4, 2007, registered Jan 17, 2007 (13 days) · Other
- H•••••• S••••••••• I••• to M••••••• I••••••••• N•••••• I•••left Jan 3, 2007, registered Jan 3, 2003 (-1461 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
- STATE REGISTEREDderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address