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.
D••• E••••• N••••
- D••••••• P•••••••• M••••••••• I••• independent RIA currentsince Jun 23, 2017 · Carthage, Tx
- S••••• F•••••••• G•••• I•• formerSep 1, 2016 to Jun 30, 2017 · Overland Park, Ks
- V•• A••••••• S••••••• formerJul 11, 2005 to Nov 2, 2016 · Carthage, Tx
- S••••••••• S••••••••• I••• unclassifiedJun 18, 1989 to Jul 18, 2005 · Carthage, Tx
- S••••• F•••••••• G•••• I•• to D••••••• P•••••••• M••••••••• I•••left Jun 30, 2017, registered Jun 23, 2017 (-7 days) · Other
- V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••left Nov 2, 2016, registered Sep 1, 2016 (-62 days) · channel change inside one enterprise, not a move · moved with a team
- S••••••••• S••••••••• I••• to V•• A••••••• S•••••••left Jul 18, 2005, registered Jul 11, 2005 (-7 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address