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.
I•• M•••••• U•••
- H•••••••• A•••••••• L•• BD affiliated currentsince Oct 4, 2020 · Dallas, Tx
- F••••••• I••••••••• M••••••••• C• formerJul 23, 2019 to Nov 16, 2020 · Dallas, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMFeb 16, 2015 to Jul 3, 2019 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerDec 15, 2009 to Feb 26, 2015 · Addison, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Dec 2, 2009 · Houston, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 28, 2008 to Oct 23, 2009 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseOct 11, 2005 to Apr 14, 2008 · Houston, Tx
- F••••••• I••••••••• M••••••••• C• to H•••••••• A•••••••• L••left Nov 16, 2020, registered Oct 4, 2020 (-43 days) · corporate re-registration, not a move
- U••• I••••••••• S••••••• C•••••• to F••••••• I••••••••• M••••••••• C•left Jul 3, 2019, registered Jul 23, 2019 (20 days) · Affiliated broker-dealer or bank to independent RIA
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Feb 26, 2015, registered Feb 16, 2015 (-10 days) · channel change inside one enterprise, not a move · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• F•••••••• P••••••• S•••••••left Dec 2, 2009, registered Dec 15, 2009 (13 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 14, 2008, registered Mar 28, 2008 (-17 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address