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.
K••• D••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 16, 2022 · Gladstone, Mo
- I••••••••• F•••••••• P••••••• BD affiliatedMar 7, 2022 to May 27, 2022 · Gladstone, Mo
- L•• F•••••••• L•• BD affiliatedSep 22, 2021 to Apr 5, 2022 · Gladstone, Mo
- W•••••• • R••• formerSep 13, 2011 to Aug 23, 2021 · Overland Park, Ks
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Aug 29, 2011 · Kansas City, Mo
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 9, 2003 to Oct 5, 2009 · Kansas City, Mo
- I••••••••• F•••••••• P••••••• to L•• F•••••••• L••left May 27, 2022, registered Jun 16, 2022 (20 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Apr 5, 2022, registered Mar 7, 2022 (-29 days) · RIA to affiliated broker-dealer or bank
- W•••••• • R••• to L•• F•••••••• L••left Aug 23, 2021, registered Sep 22, 2021 (30 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Aug 29, 2011, registered Sep 13, 2011 (15 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- K••• D••• S•••••• left I••••••••• F•••••••• P••••••• for L•• F•••••••• L•• (registered 2022-06-16)May 27, 2022 · a•••••• firm change · fact
- K••• D••• S•••••• left L•• F•••••••• L•• for I••••••••• F•••••••• P••••••• (registered 2022-03-07)Apr 5, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address