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.
E••• A••• J••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 24, 2018 · Overland Park, Ks
- P••••••• F•••••••• G•••• formerJan 11, 2017 to Dec 18, 2018 · Overland Park, Ks
- P••••••• F•••••••• G•••• formerApr 1, 2015 to Dec 31, 2016 · Overland Park, Ks
- O••••••••• • C•• I••• BD affiliatedMar 27, 2009 to Apr 16, 2015 · Kansas City, Mo
- W•••• F•••• A••••••• wirehouseAug 18, 2000 to Mar 27, 2009 · Overland Park, Ks
- P••••••• F•••••••• G•••• to L•• F•••••••• L••left Dec 18, 2018, registered Jan 24, 2018 (-328 days) · RIA to RIA · moved with a team
- O••••••••• • C•• I••• to P••••••• F•••••••• G••••left Apr 16, 2015, registered Apr 1, 2015 (-15 days) · Other
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Mar 27, 2009, registered Mar 27, 2009 (0 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address