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.
L•••• D••• F••••
- B••••••••• W••••• independent RIA currentsince Mar 22, 2019 · Lincoln, Ne
- K••••• A••••••• S•••••••• L•• BD affiliatedJan 30, 2017 to Mar 15, 2019 · Lincoln, Ne
- A••••••• A••••••• S••••••• formerApr 2, 2014 to Jan 25, 2017 · Lincoln, Ne
- S••••• F•••••••• S•••••••• I••• formerFeb 1, 2007 to Mar 3, 2014 · Scottsdale, Az
- T••••••••• F•••••••• A•••••••• I••• unclassifiedApr 17, 2003 to Dec 31, 2006 · Lincoln, Ne
- K••••• A••••••• S•••••••• L•• to B••••••••• W•••••left Mar 15, 2019, registered Mar 22, 2019 (7 days) · Affiliated broker-dealer or bank to a newly registered adviser
- A••••••• A••••••• S••••••• to K••••• A••••••• S•••••••• L••left Jan 25, 2017, registered Jan 30, 2017 (5 days) · Other
- S••••• F•••••••• S•••••••• I••• to A••••••• A••••••• S•••••••left Mar 3, 2014, registered Apr 2, 2014 (30 days) · Other
- T••••••••• F•••••••• A•••••••• I••• to S••••• F•••••••• S•••••••• I•••left Dec 31, 2006, registered Feb 1, 2007 (32 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
- Independent wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address