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••••• A••• V••••
- R••••••••• T•• A•• W••••• A•••••••• I••• independent RIA currentsince Sep 20, 2016 · Topeka, Ks
- A• W••••• M••••••••• L•• BD affiliatedMay 2, 2016 to Jan 11, 2017 · Topeka, Ks
- O• I••••••••• M••••••••• C• BD affiliatedFeb 4, 2008 to May 11, 2016 · Topeka, Ks
- C•••••• P•••••••• M••••••••• L••••• formerSep 30, 2003 to Mar 5, 2008 · Topeka, Ks
- A• W••••• M••••••••• L•• to R••••••••• T•• A•• W••••• A•••••••• I•••left Jan 11, 2017, registered Sep 20, 2016 (-113 days) · Other · moved with a team
- O• I••••••••• M••••••••• C• to A• W••••• M••••••••• L••left May 11, 2016, registered May 2, 2016 (-9 days) · Other · moved with a team
- C•••••• P•••••••• M••••••••• L••••• to O• I••••••••• M••••••••• C•left Mar 5, 2008, registered Feb 4, 2008 (-30 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address