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.
K•••• W• T•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 28, 2024 · Golden Valley, Mn
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedJun 14, 2019 to Sep 19, 2024 · Columbus, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDJan 18, 2012 to Nov 23, 2018 · Leawood, Ks
- O••••••••• • C•• I••• BD affiliatedJun 13, 2008 to Feb 2, 2012 · Kansas City, Mo
- A••••••••• A•••••• S•••••••• I••• unclassifiedDec 18, 2003 to Jun 18, 2008 · Overland Park, Ks
- P•••• S•••••• • C•• institutionalNov 1, 2001 to Dec 18, 2003 · Leawood, Ks
- N••••••••• I••••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 19, 2024, registered Oct 28, 2024 (39 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to N••••••••• I••••••••• A•••••••• L••left Nov 23, 2018, registered Jun 14, 2019 (203 days) · Affiliated broker-dealer or bank to another
- O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 2, 2012, registered Jan 18, 2012 (-15 days) · Other
- A••••••••• A•••••• S•••••••• I••• to O••••••••• • C•• I•••left Jun 18, 2008, registered Jun 13, 2008 (-5 days) · Other
- P•••• S•••••• • C•• to A••••••••• A•••••• S•••••••• I•••left Dec 18, 2003, registered Dec 18, 2003 (0 days) · Other
- K•••• W• T••••• left N••••••••• I••••••••• A•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-10-28)Sep 19, 2024 · a•••••• firm change · 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address