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.
R••••• A••••• W••••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Sep 24, 2009 · Palm Beach Gardens, Fl
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAMay 16, 2007 to Sep 23, 2009 · Scottsdale, Az
- L••••• F•••••••• G••••• I••• unclassifiedAug 3, 2005 to Dec 31, 2006 · Overland Park, Ks
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 1, 2005 to May 22, 2007 · Overland Park, Ks
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 25, 2003 to Jul 6, 2005 · Overland Park, Ks
- C•••••• L•• independent RIAMar 6, 2003 to Jun 25, 2003 · Overland Park, Ks
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to M•••• C••••••• A••••••• S••••••left Sep 23, 2009, registered Sep 24, 2009 (1 days) · Other
- M•• I•••••••• S•••••••• L•• to L••••• F•••••••• G••••• I•••left May 22, 2007, registered Aug 3, 2005 (-657 days) · Other
- L••••• F•••••••• G••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Dec 31, 2006, registered May 16, 2007 (136 days) · Other
- A••••••••• A•••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Jul 6, 2005, registered Aug 1, 2005 (26 days) · Other
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jun 25, 2003, registered Jun 25, 2003 (0 days) · corporate re-registration, not a move
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address