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.
F•••• J••• W•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jun 19, 2015 · Omaha, Ne
- F•••• N••••••• C•••••• M••••••• I••• formerApr 8, 2013 to Jun 18, 2015 · Omaha, Ne
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Apr 9, 2013 · Omaha, Ne
- A••••••••• A•••••• S•••••••• I••• unclassifiedAug 1, 2008 to Oct 5, 2009 · Omaha, Ne
- W•••• F•••• A••••••• wirehouseMay 11, 1998 to Jul 30, 2008 · Omaha, Ne
- F•••• N••••••• C•••••• M••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 18, 2015, registered Jun 19, 2015 (1 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to F•••• N••••••• C•••••• M••••••• I•••left Apr 9, 2013, registered Apr 8, 2013 (-1 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to A••••••••• A•••••• S•••••••• I•••left Jul 30, 2008, registered Aug 1, 2008 (2 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