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•••• L•• H•••••
- K•• W••••• P••••••• state registered currentsince Aug 21, 2024 · Northbrook, Il
- P••••••••• A•••••• G••••• L•• unclassifiedJan 9, 2008 to Jul 22, 2024 · Springfield, Mo
- E•••• P•••• A•••• M••••••••• I••• unclassifiedMar 27, 2007 to Jan 9, 2008 · Branson, Mo
- T••••••• I••••••••• M••••••••• I••• BD affiliatedApr 25, 2003 to Mar 27, 2007 · Springfield, Mo
- P••••••••• A•••••• G••••• L•• to K•• W••••• P•••••••left Jul 22, 2024, registered Aug 21, 2024 (30 days) · Other
- E•••• P•••• A•••• M••••••••• I••• to P••••••••• A•••••• G••••• L••left Jan 9, 2008, registered Jan 9, 2008 (0 days) · Other
- T••••••• I••••••••• M••••••••• I••• to E•••• P•••• A•••• M••••••••• I•••left Mar 27, 2007, registered Mar 27, 2007 (0 days) · Other
- R•••• L•• H••••• left P••••••••• A•••••• G••••• L•• for K•• W••••• P••••••• (registered 2024-08-21)Jul 22, 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
- STATE REGISTEREDderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address