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••••• A••••• D•••••
- H•• I••••••••• P•••••••• L•• independent RIA currentsince Jan 4, 2022 · A•••••, Tx
- H•• I••••••••• P•••••••• L•• independent RIAJul 3, 2020 to Dec 31, 2021 · A•••••, Tx
- T•• A•••••••• L• formerOct 18, 2018 to Dec 8, 2020 · Fort Worth, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDAug 7, 2013 to Mar 26, 2018 · Arlington, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 19, 2011 to Sep 19, 2011 · Ft. Worth, Tx
- T•• A•••••••• L• to H•• I••••••••• P•••••••• L••left Dec 8, 2020, registered Jul 3, 2020 (-158 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to T•• A•••••••• L•left Mar 26, 2018, registered Oct 18, 2018 (206 days) · Other
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 19, 2011, registered Aug 7, 2013 (688 days) · Wirehouse to affiliated broker-dealer or bank
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address