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.
D••• J••••• H•••
- C•••••• S••••• • C••• I••• national BD currentsince May 28, 2020 · Westlake, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 24, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJun 6, 2017 to Jan 8, 2018 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to May 3, 2017 · Fort Worth, Tx
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 30, 2003 to Oct 5, 2009 · Ft. Worth, Tx
- C•••••• L•• independent RIAOct 3, 2002 to Jul 10, 2003 · Fort Worth, Tx
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left May 24, 2020, registered May 28, 2020 (4 days) · corporate re-registration, not a move
- 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
- A••••••••• F•••••••• S•••••••• L•• to U••• F•••••••• P••••••• S•••••••left May 3, 2017, registered Jun 6, 2017 (34 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jul 10, 2003, registered Jun 30, 2003 (-10 days) · corporate re-registration, 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address