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.
J••• R••• W••••
- C••••••• F•••••••• D••••••• I••• BD affiliated currentsince Apr 1, 2020 · Kokomo, In
- R••••••••• P••• A•••••••• L•• mixed wealthJun 30, 2005 to Apr 1, 2020 · Olathe, Ks
- L••••• F•••••••• G••••• I••• unclassifiedAug 12, 2002 to Jan 5, 2005 · Overland Park, Ks
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 6, 2002 to Jan 26, 2005 · Olathe, Ks
- R••••••••• P••• A•••••••• L•• to C••••••• F•••••••• D••••••• I•••left Apr 1, 2020, registered Apr 1, 2020 (0 days) · RIA to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to L••••• F•••••••• G••••• I•••left Jan 26, 2005, registered Aug 12, 2002 (-898 days) · Other
- L••••• F•••••••• G••••• I••• to R••••••••• P••• A•••••••• L••left Jan 5, 2005, registered Jun 30, 2005 (176 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address