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.
C•••••• A•••• E••••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 21, 2018 · Plano, Tx
- T• A••••••••• I••• formerJul 27, 2021 to Oct 14, 2022 · Plano, Tx
- M••••••• I••••••••• N•••••• I••• BD affiliatedJan 3, 2012 to Jul 26, 2018 · Dallas, Tx
- H•••••• S••••••••• I••• BD affiliatedMay 8, 2003 to Jul 24, 2018 · Dallas, Tx
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- M••••••• I••••••••• N•••••• I••• to C•••••• S••••• • C••• I•••left Jul 26, 2018, registered Aug 21, 2018 (26 days) · Affiliated broker-dealer or bank to another
- H•••••• S••••••••• I••• to M••••••• I••••••••• N•••••• I•••left Jul 24, 2018, registered Jan 3, 2012 (-2394 days) · Other
- C•••••• A•••• E•••••• no longer registered at T• A••••••••• I•••; no later IA registration on IAPDOct 14, 2022 · Advisor departure · fact
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address