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.
J••••• B••••••
- S••••••• F•••••••• A•••••••• L•• independent RIA currentsince Jan 4, 2022 · O••••, Ne
- O•••• W••••• M••••••••• L•• unclassifiedJul 1, 2016 to Dec 31, 2021 · O••••, Ne
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 23, 2010 to Aug 2, 2016 · O••••, Ne
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 21, 2010 · Omaha, Ne
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 22, 1997 to Jun 1, 2009 · O••••, Ne
- O•••• W••••• M••••••••• L•• to S••••••• F•••••••• A•••••••• L••left Dec 31, 2021, registered Jan 4, 2022 (4 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to O•••• W••••• M••••••••• L••left Aug 2, 2016, registered Jul 1, 2016 (-32 days) · Other
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 21, 2010, registered Jul 23, 2010 (2 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- Independent wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address