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•••••• C•••••• R•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 1, 2017 · Lincoln, Ne
- S•• I••••••••• I••• formerJul 13, 2015 to Nov 17, 2017 · Grand Island, Ne
- P•••••••• S••••••••• I••• BD affiliatedJul 25, 2008 to Nov 4, 2009 · Lincoln, Ne
- A••••• A••••••••• L•• unclassifiedOct 18, 2007 to Jul 16, 2008 · Grand Island, Ne
- A••••• A••••••••• L•• unclassifiedMar 15, 2007 to Jul 12, 2007 · Grand Island, Ne
- Q•• F•••••••• L•• unclassifiedFeb 3, 2006 to Mar 8, 2007 · Grand Island, Ne
- O•••• W•••••• I••• BD affiliatedFeb 7, 2002 to Aug 12, 2003 · Grand Island, Ne
- S•• I••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 17, 2017, registered Dec 1, 2017 (14 days) · Other · moved with a team
- P•••••••• S••••••••• I••• to S•• I••••••••• I•••left Nov 4, 2009, registered Jul 13, 2015 (2077 days) · Other
- A••••• A••••••••• L•• to P•••••••• S••••••••• I•••left Jul 16, 2008, registered Jul 25, 2008 (9 days) · Other
- Q•• F•••••••• L•• to A••••• A••••••••• L••left Mar 8, 2007, registered Mar 15, 2007 (7 days) · Other
- O•••• W•••••• I••• to Q•• F•••••••• L••left Aug 12, 2003, registered Feb 3, 2006 (906 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address