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.
M••• D•••• R••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 31, 2018 · Overland Park, Ks
- P••••••• F•••••••• G•••• formerJan 11, 2017 to Dec 18, 2018 · Overland Park, Ks
- P••••••• F•••••••• G•••• formerDec 17, 2009 to Dec 31, 2016 · Overland Park, Ks
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Nov 30, 2009 · Phoenix, Az
- S••••••••• S••••••••• I••• unclassifiedAug 26, 2004 to Oct 31, 2005 · Overland Park, Ks
- P•••• S•••••• • C•• institutionalJun 24, 2002 to Jul 15, 2004 · Leawood, Ks
- P••••••• F•••••••• G•••• to L•• F•••••••• L••left Dec 18, 2018, registered Jan 31, 2018 (-321 days) · RIA to RIA · moved with a team
- S•••••••• F••••••••• I••• to P••••••• F•••••••• G••••left Nov 30, 2009, registered Dec 17, 2009 (17 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
- P•••• S•••••• • C•• to S••••••••• S••••••••• I•••left Jul 15, 2004, registered Aug 26, 2004 (42 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address