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.
B•••• M•••• W•••••••••
- F•••••••• T•••• P•••••• W••••• C•••••• L•• state registered currentsince Mar 11, 2022 · Springfield, Mo
- O•••• I••••••••• I••• BD affiliatedMar 24, 2020 to Dec 31, 2021 · Overland Park, Ks
- B•• I••••••••• S•••••••• I••• unclassifiedJul 9, 2018 to Dec 11, 2020 · Sunrise Beachm, Mo
- O•••• I••••••••• I••• BD affiliatedJan 11, 2018 to Apr 4, 2018 · Sunrise Beach, Mo
- B•• I••••••••• S•••••••• I••• unclassifiedAug 28, 2015 to Nov 2, 2016 · Springfield, Mo
- B•••••• • I•••••••• C•• unclassifiedNov 2, 2010 to Jun 30, 2015 · Kansas City, Ks
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Dec 17, 2007 · Kansas City, Mo
- C•••••••• I••••••••• R•••••••• I••• unclassifiedMar 11, 2005 to Mar 28, 2005 · Weston, Mo
- O•••• I••••••••• I••• to F•••••••• T•••• P•••••• W••••• C•••••• L••left Dec 31, 2021, registered Mar 11, 2022 (70 days) · Affiliated broker-dealer or bank to a state-registered adviser
- B•• I••••••••• S•••••••• I••• to O•••• I••••••••• I•••left Dec 11, 2020, registered Mar 24, 2020 (-262 days) · Other
- O•••• I••••••••• I••• to B•• I••••••••• S•••••••• I•••left Apr 4, 2018, registered Jul 9, 2018 (96 days) · Other
- B•• I••••••••• S•••••••• I••• to O•••• I••••••••• I•••left Nov 2, 2016, registered Jan 11, 2018 (435 days) · Other
- B•••••• • I•••••••• C•• to B•• I••••••••• S•••••••• I•••left Jun 30, 2015, registered Aug 28, 2015 (59 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to B•••••• • I•••••••• C••left Dec 17, 2007, registered Nov 2, 2010 (1051 days) · Other
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2005, registered Mar 28, 2005 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address