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.
S•••••• C••••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Feb 5, 2021 · Chicago, Il
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Aug 8, 2019 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerDec 22, 2014 to Jan 8, 2018 · Addison, Tx
- F•••• H•••••••• C••••••••• I••• BD affiliatedMar 7, 2012 to Oct 31, 2014 · Mckinney, Tx
- S•••• T•• A•• W••••• A••••••• unclassifiedOct 17, 2011 to Feb 6, 2012 · Plano, Tx
- W•••• F•••• A••••••• wirehouseJun 30, 2010 to Oct 13, 2011 · Mckinney, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 21, 2007 to Jan 20, 2009 · Fort Worth, Tx
- T• A••••••••• I••• formerJun 21, 2007 to Jan 20, 2009 · Fort Worth, Tx
- U••• I••••••••• S••••••• C•••••• to H•••••••• A•••••••• L••left Aug 8, 2019, registered Feb 5, 2021 (547 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- F•••• H•••••••• C••••••••• I••• to U••• F•••••••• P••••••• S•••••••left Oct 31, 2014, registered Dec 22, 2014 (52 days) · Other
- S•••• T•• A•• W••••• A••••••• to F•••• H•••••••• C••••••••• I•••left Feb 6, 2012, registered Mar 7, 2012 (30 days) · Other
- W•••• F•••• A••••••• to S•••• T•• A•• W••••• A•••••••left Oct 13, 2011, registered Oct 17, 2011 (4 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to W•••• F•••• A•••••••left Jan 20, 2009, registered Jun 30, 2010 (526 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 20, 2009, registered Jun 21, 2007 (-579 days) · channel change inside one enterprise, not a move
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address