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.
R••••• K••• H•••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Nov 8, 2012 · Wichita, Ks
- L•• F•••••••• L•• BD affiliatedJul 13, 2015 to Jul 13, 2015 · Great Bend, Ks
- S••••• A••• A•••• M••••••••• I••• formerApr 8, 2005 to Nov 6, 2012 · Birmingham, Al
- S•••••• A••• • L••••• I••• unclassifiedJan 26, 2004 to Feb 27, 2004 · Great Bend, Ks
- W•••••• • R••• formerApr 8, 1997 to Apr 7, 2003 · Great Bend, Ks
- L•• F•••••••• L•• to no registered destinationleft Jul 13, 2015 · Departure, no registered destination
- S••••• A••• A•••• M••••••••• I••• to I••••••••• F•••••••• P•••••••left Nov 6, 2012, registered Nov 8, 2012 (2 days) · Other
- S•••••• A••• • L••••• I••• to S••••• A••• A•••• M••••••••• I•••left Feb 27, 2004, registered Apr 8, 2005 (406 days) · Other
- W•••••• • R••• to S•••••• A••• • L••••• I•••left Apr 7, 2003, registered Jan 26, 2004 (294 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address