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.
W••••• J•••• D••••••
- H•••••• S••••••••• I••• BD affiliated currentsince Jun 17, 2019 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 18, 2019 · Addison, Tx
- W•••• F•••• I••••••••• L•• unclassifiedOct 1, 2007 to Jan 3, 2011 · Dallas, Tx
- E•••••••• A•••••••• L•• national BDMar 12, 2007 to Jul 23, 2007 · Dallas, Tx
- W•••• F•••• A••••••• to H•••••• S••••••••• I•••left Jun 18, 2019, registered Jun 17, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to W•••• F•••• I••••••••• L••left Jul 23, 2007, registered Oct 1, 2007 (70 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address