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.
W•••••• H••••• W••••••
- M• H••••••• S••••••••• I••• BD affiliated currentsince Jan 9, 2014 · Portland, Or
- N•• A•••••• S•••••••• L•• formerDec 9, 2008 to Jan 7, 2014 · Prairie Village, Ks
- N•• A•••••• S•••••••• L•• formerJul 9, 2008 to Aug 5, 2008 · Prairie Village, Ks
- P••• A••••• S••••••••• L•• BD affiliatedApr 19, 2004 to Dec 6, 2006 · Overland P•••, Ks
- W• G••••••• S••••••••• I••• unclassifiedAug 26, 2002 to Feb 11, 2004 · Hartford, Ct
- N•• A•••••• S•••••••• L•• to M• H••••••• S••••••••• I•••left Jan 7, 2014, registered Jan 9, 2014 (2 days) · Other
- P••• A••••• S••••••••• L•• to N•• A•••••• S•••••••• L••left Dec 6, 2006, registered Jul 9, 2008 (581 days) · Other
- W• G••••••• S••••••••• I••• to P••• A••••• S••••••••• L••left Feb 11, 2004, registered Apr 19, 2004 (68 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address