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.
W•••••• L•• G•••••••
- C••••••• F•••••••• D••••••• I••• BD affiliated currentsince Jun 5, 2023 · Kokomo, In
- W••••••• F•••••••• S•••••••• I••• formerNov 28, 2017 to May 31, 2023 · Lincoln, Ne
- S•• I••••••••• I••• formerNov 7, 1996 to Nov 27, 2017 · Lincoln, Ne
- W••••••• F•••••••• S•••••••• I••• to C••••••• F•••••••• D••••••• I•••left May 31, 2023, registered Jun 5, 2023 (5 days) · Affiliated broker-dealer or bank to another
- S•• I••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Nov 27, 2017, registered Nov 28, 2017 (1 days) · Other
- W•••••• L•• G••••••• left W••••••• F•••••••• S•••••••• I••• for C••••••• F•••••••• D••••••• I••• (registered 2023-06-05)May 31, 2023 · Advisor changed firm · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address