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.
K•••• O••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 12, 2022 · Surprise, Az
- E••••• J•••• national BDAug 31, 2016 to Dec 12, 2022 · Overland Park, Ks
- N••• R• W•••••• I••• independent RIAAug 1, 2014 to Jul 20, 2016 · Overland Park, Ks
- W•••• F•••• A••••••• wirehouseMay 25, 2009 to Aug 5, 2014 · Overland Park, Ks
- E••••• J•••• to L•• F•••••••• L••left Dec 12, 2022, registered Dec 12, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N••• R• W•••••• I••• to E••••• J••••left Jul 20, 2016, registered Aug 31, 2016 (42 days) · Other
- W•••• F•••• A••••••• to N••• R• W•••••• I•••left Aug 5, 2014, registered Aug 1, 2014 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- K•••• O•••••• left E••••• J•••• for L•• F•••••••• L•• (registered 2022-12-12)Dec 12, 2022 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address