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.
O••• B•••••• S•••••••
- O••••••• P••• W••••• M••••••••• L•• state registered currentsince Jul 9, 2014 · O••••••• P•••, Ks
- C•••••• W••••• M••••••••• formerFeb 17, 2012 to Sep 30, 2014 · O••••••• P•••, Ks
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 30, 1997 to Feb 21, 2012 · Kansas City, Mo
- C•••••• W••••• M••••••••• to O••••••• P••• W••••• M••••••••• L••left Sep 30, 2014, registered Jul 9, 2014 (-83 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• W••••• M•••••••••left Feb 21, 2012, registered Feb 17, 2012 (-4 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
- STATE REGISTEREDderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address