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.
- M•••••• BD affiliated currentsince Oct 16, 2017 · Omaha, Ne
- M•••••• W••••• A••••••• formerOct 16, 2017 to Mar 31, 2018 · Omaha, Ne
- A•••••• P••••••• P•••••••• I••• BD affiliatedJan 1, 2002 to Oct 13, 2017 · Omaha, Ne
- M•••••• W••••• A••••••• to M••••••left Mar 31, 2018, registered Oct 16, 2017 (-166 days) · Other · moved with a team
- A•••••• P••••••• P•••••••• I••• to M•••••• W••••• A•••••••left Oct 13, 2017, registered Oct 16, 2017 (3 days) · Other · moved with a team
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address