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.
D•••• R•• S•••
- P•••••••• S••••••••• I••• BD affiliated currentsince May 15, 2019 · Addison, Tx
- H••••••••• G•••• E••••• • R••••••••• S••••••••• formerJan 23, 2019 to May 1, 2019 · Hurst, Tx
- P•••••••• S••••••••• I••• BD affiliatedSep 25, 2013 to Jan 24, 2019 · Addison, Tx
- U••• F•••••••• P••••••• S••••••• formerMar 30, 2011 to Sep 11, 2013 · Addison, Tx
- M•• F•••••••• S•••••••• I••• formerJan 7, 2010 to Mar 17, 2011 · Dallas, Tx
- H••••••••• G•••• E••••• • R••••••••• S••••••••• to P•••••••• S••••••••• I•••left May 1, 2019, registered May 15, 2019 (14 days) · RIA to affiliated broker-dealer or bank
- P•••••••• S••••••••• I••• to H••••••••• G•••• E••••• • R••••••••• S•••••••••left Jan 24, 2019, registered Jan 23, 2019 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- U••• F•••••••• P••••••• S••••••• to P•••••••• S••••••••• I•••left Sep 11, 2013, registered Sep 25, 2013 (14 days) · Other
- M•• F•••••••• S•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Mar 17, 2011, registered Mar 30, 2011 (13 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address