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.
E••••• P••• H••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Overland Park, Ks
- L•• F•••••••• L•• BD affiliatedJan 25, 2023 to Feb 14, 2023 · San Diego, Ca
- W••••••• F•••••••• S•••••••• I••• formerMay 7, 2002 to Jan 19, 2024 · Overland Park, Ks
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jan 19, 2024, registered Jan 25, 2023 (-359 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- L•• F•••••••• L•• to O•••• W•••••• I•••left Feb 14, 2023, registered Jan 19, 2024 (339 days) · RIA to affiliated broker-dealer or bank
- E••••• P••• H•••• left W••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2023-01-25)Jan 19, 2024 · Advisor changed firm · fact
- E••••• P••• H•••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2024-01-19)Feb 14, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address