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.
J••••••• S•••• R•••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 14, 2020 · Westlake, Tx
- H•••••• S••••••••• I••• BD affiliatedNov 17, 2014 to Jul 17, 2020 · Dallas, Tx
- U••• B•••••• A•••••••• L•• BD affiliatedSep 26, 2008 to Nov 5, 2010 · San Bernardino, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 6, 2007 to Aug 18, 2008 · Riverside, Ca
- H•••••• S••••••••• I••• to C•••••• S••••• • C••• I•••left Jul 17, 2020, registered Aug 14, 2020 (28 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• A•••••••• L•• to H•••••• S••••••••• I•••left Nov 5, 2010, registered Nov 17, 2014 (1473 days) · Other
- C•••••••• G••••• M•••••• I••• to U••• B•••••• A•••••••• L••left Aug 18, 2008, registered Sep 26, 2008 (39 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address