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.
M••• T••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 27, 2022 · North Platte, Ne
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 19, 2017 to Jun 23, 2022 · North Platte, Ne
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Jun 13, 2017 · North Platte, Ne
- C••••• I••••••••• S••••••• L•• formerJul 28, 2011 to Jan 21, 2014 · North Platte, Ne
- A••••••• A••••••• S••••••• formerOct 13, 2006 to Jul 26, 2011 · North Platte, Ne
- C••••• I••••••••• S••••••• L•• formerMar 3, 2006 to Oct 5, 2006 · North Platte, Ne
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Jun 23, 2022, registered Jun 27, 2022 (4 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 13, 2017, registered Jun 19, 2017 (6 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- A••••••• A••••••• S••••••• to C••••• I••••••••• S••••••• L••left Jul 26, 2011, registered Jul 28, 2011 (2 days) · Other
- C••••• I••••••••• S••••••• L•• to A••••••• A••••••• S•••••••left Oct 5, 2006, registered Oct 13, 2006 (8 days) · Other
- M••• T•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-06-27)Jun 23, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address