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.
T•••• E••••• E•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 2, 2021 · Leawood, Ks
- J••• H•••••• I••••••••• M••••••••• L•• asset managerDec 9, 2008 to Sep 10, 2010 · Overland Park, Ks
- J••• H•••••• D••••••••• L•• unclassifiedOct 1, 2003 to Dec 31, 2006 · Overland Park, Ks
- F••••• I••••••••• independent RIAJun 28, 2002 to Jul 7, 2003 · Overland Park, Ks
- J••• H•••••• I••••••••• M••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Sep 10, 2010, registered Jul 2, 2021 (3948 days) · Other
- J••• H•••••• D••••••••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Dec 31, 2006, registered Dec 9, 2008 (709 days) · Other
- F••••• I••••••••• to J••• H•••••• D••••••••• L••left Jul 7, 2003, registered Oct 1, 2003 (86 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address