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.
G•••••• O••• M••••••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Jul 8, 2020 · Plano, Tx
- O• I••••••••• M••••••••• C• BD affiliatedSep 12, 2017 to Dec 31, 2019 · Flower Mound, Tx
- R••••••••• P••••••• O• A•••••• independent RIAMay 12, 2016 to Nov 15, 2016 · Plano, Tx
- E•••• S••••••••• L•• BD affiliatedAug 12, 2015 to May 10, 2016 · Plano, Tx
- M•• F•••••••• S•••••••• I••• formerMay 10, 2010 to Apr 3, 2015 · Plano, Tx
- E•••• S••••••••• L•• BD affiliatedAug 4, 2005 to Mar 12, 2010 · Prosper, Tx
- O• I••••••••• M••••••••• C• to H•••••• T••••••• • K•••• L••left Dec 31, 2019, registered Jul 8, 2020 (190 days) · Affiliated broker-dealer or bank to another
- R••••••••• P••••••• O• A•••••• to O• I••••••••• M••••••••• C•left Nov 15, 2016, registered Sep 12, 2017 (301 days) · Other
- E•••• S••••••••• L•• to R••••••••• P••••••• O• A••••••left May 10, 2016, registered May 12, 2016 (2 days) · Other
- M•• F•••••••• S•••••••• I••• to E•••• S••••••••• L••left Apr 3, 2015, registered Aug 12, 2015 (131 days) · Other
- E•••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Mar 12, 2010, registered May 10, 2010 (59 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address