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.
R••••• A•••• S••••
- R•• C•••••• M••••••• L•• national BD currentsince Aug 10, 2017 · Frisco, Tx
- H•••••• S••••••••• I••• BD affiliatedMay 9, 2003 to Aug 22, 2017 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseJul 31, 1997 to Jun 2, 2003 · Addison, Tx
- H•••••• S••••••••• I••• to R•• C•••••• M••••••• L••left Aug 22, 2017, registered Aug 10, 2017 (-12 days) · Other
- U•• F•••••••• S••••••• I••• to H•••••• S••••••••• I•••left Jun 2, 2003, registered May 9, 2003 (-24 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address