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•••• V•••••• K•••
- P••••••••• C•••••• A••••••• independent RIA currentsince Jul 19, 2024 · Stuart, Ne
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 29, 2023 to Jul 22, 2024 · Stuart, Ne
- C••••• A•••••• N••••••• L•• formerMar 22, 2021 to Jun 29, 2023 · Stuart, Ne
- S••••• F•••••••• G•••• I•• formerSep 1, 2016 to May 20, 2021 · Stuart, Ne
- V•• A••••••• S••••••• formerFeb 20, 2003 to Sep 1, 2016 · Stuart, Ne
- T•• M••••••• I••• unclassifiedSep 4, 1998 to Feb 11, 2003 · Overland Pk, Ks
- C••••• I••••••••• A••••••• L•• to P••••••••• C•••••• A•••••••left Jul 22, 2024, registered Jul 19, 2024 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
- S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••left May 20, 2021, registered Mar 22, 2021 (-59 days) · channel change inside one enterprise, not a move
- V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••left Sep 1, 2016, registered Sep 1, 2016 (0 days) · corporate re-registration, not a move
- T•• M••••••• I••• to V•• A••••••• S•••••••left Feb 11, 2003, registered Feb 20, 2003 (9 days) · corporate re-registration, not a move
- Scott Vincent Kaup left Cetera Investment Advisers Llc for Prosperity Capital Advisors (registered 2024-07-19)Jul 22, 2024 · Advisor changed firm · fact
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address