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.
C••• E••••• M••••••
- O•• C•••••• M••••••••• L•• independent RIA currentsince Dec 7, 2022 · Westlake Village, Ca
- N•••••• F•••••••• G••••• I••• independent RIAMay 30, 2003 to May 21, 2021 · Hiawatha, Ks
- R•• C•••••• M••••••• L•• national BDJan 1, 2002 to May 29, 2003 · St Joseph, Mo
- N•••••• F•••••••• G••••• I••• to O•• C•••••• M••••••••• L••left May 21, 2021, registered Dec 7, 2022 (565 days) · RIA to RIA
- R•• C•••••• M••••••• L•• to N•••••• F•••••••• G••••• I•••left May 29, 2003, registered May 30, 2003 (1 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address