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.
L••• N••••• R•••••
- T•• D•••••••• D••••• state registered currentsince Jan 3, 2022 · Fort Worth, Tx
- H•••••• S••••••••• I••• BD affiliatedMay 30, 2017 to Dec 23, 2021 · Dallas, Tx
- M••••• S•••••• wirehouseJul 21, 2015 to Jun 1, 2017 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseApr 9, 2015 to Jun 15, 2015 · Dallas, Tx
- H•••••• S••••••••• I••• to T•• D•••••••• D•••••left Dec 23, 2021, registered Jan 3, 2022 (11 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M••••• S•••••• to H•••••• S••••••••• I•••left Jun 1, 2017, registered May 30, 2017 (-2 days) · Other
- W•••• F•••• A••••••• to M••••• S••••••left Jun 15, 2015, registered Jul 21, 2015 (36 days) · Wirehouse to wirehouse · moved with a team
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
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address