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.
H•••• R•••••• P•••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Dallas, Tx
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Jun 14, 2024 · Dallas, Tx
- I••••••••• A••••••• S••••••• I•• formerJan 6, 2016 to Jul 17, 2020 · Phoenix, Az
- N•• A•••••• S•••••••• L•• formerDec 24, 2014 to Dec 31, 2015 · Phoenix, Az
- H••••••• I••••••••• F•••••••• S•••••••• L•• formerDec 19, 2006 to Jan 3, 2007 · Metarie, La
- L•• F•••••••• L•• BD affiliatedAug 27, 2003 to Nov 28, 2006 · Carriere, Ms
- Q•••• • R•••••• I••• unclassifiedSep 6, 2002 to Aug 26, 2003 · New Orleans, La
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- N•• A•••••• S•••••••• L•• to I••••••••• A••••••• S••••••• I••left Dec 31, 2015, registered Jan 6, 2016 (6 days) · Other
- H••••••• I••••••••• F•••••••• S•••••••• L•• to N•• A•••••• S•••••••• L••left Jan 3, 2007, registered Dec 24, 2014 (2912 days) · Other
- L•• F•••••••• L•• to H••••••• I••••••••• F•••••••• S•••••••• L••left Nov 28, 2006, registered Dec 19, 2006 (21 days) · Other
- Q•••• • R•••••• I••• to L•• F•••••••• L••left Aug 26, 2003, registered Aug 27, 2003 (1 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address