DFX Intelligence
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.
Advisor moves
Arrivals at Pin Oak Investment Advisors Inc
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| J. Scott Pappas | Morgan Stanley wirehouse | Pin Oak Investment Advisors Inc other | Other | Mar 27, 2017 | Apr 12, 2017 |
| Daniel Charles Estes | Charles Schwab & Co., Inc. national BD | Pin Oak Investment Advisors Inc other | Other | Feb 11, 2010 | Jan 7, 2011 (330 d) |
| Jonathan Lee Penn | Charles Schwab & Co., Inc. national BD | Pin Oak Investment Advisors Inc other | Other | Jun 5, 2009 | Mar 29, 2017 (2854 d) |
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3 moves match.