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.
S••••• W•••••• S••••••••
- D••• D••••••• • C•• independent RIA currentsince Jan 14, 2019 · Plano, Tx
- H•••••• S••••••••• I••• BD affiliatedDec 7, 2015 to Feb 13, 2019 · Dallas, Tx
- B•••••• H•••• W••••• M••••••••• L•• formerJun 7, 2012 to Jan 19, 2016 · B•••••• H••••, Ca
- R••••• W• B•••• • C•• I••••••••• mixed wealthJul 2, 2008 to Jan 12, 2012 · Roseville, Ca
- M••••• S•••••• • C•• L•• unclassifiedOct 12, 2007 to Jun 6, 2008 · Roseville, Ca
- W•••• F•••• A••••••• wirehouseMar 28, 2000 to Oct 15, 2007 · Folsom, Ca
- H•••••• S••••••••• I••• to D••• D••••••• • C••left Feb 13, 2019, registered Jan 14, 2019 (-30 days) · Affiliated broker-dealer or bank to independent RIA
- B•••••• H•••• W••••• M••••••••• L•• to H•••••• S••••••••• I•••left Jan 19, 2016, registered Dec 7, 2015 (-43 days) · Other · moved with a team
- R••••• W• B•••• • C•• I••••••••• to B•••••• H•••• W••••• M••••••••• L••left Jan 12, 2012, registered Jun 7, 2012 (147 days) · Other
- M••••• S•••••• • C•• L•• to R••••• W• B•••• • C•• I•••••••••left Jun 6, 2008, registered Jul 2, 2008 (26 days) · Other
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Oct 15, 2007, registered Oct 12, 2007 (-3 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
- Independent wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address