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••••••• R•••• S••••
- G••••• R••••••••• P••••••• L•• institutional currentsince Dec 16, 2016 · Springfield, Mo
- A••••• W••••• M••••••••• independent RIASep 9, 2013 to May 6, 2016 · Springfield, Mo
- I••••• F•••••••• C••••••••• formerMay 4, 2011 to Aug 20, 2013 · Springfield, Mo
- L•• F•••••••• L•• BD affiliatedJul 8, 2008 to Apr 11, 2011 · Springfield, Mo
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 17, 2006 to Apr 25, 2007 · Overland Park, Ks
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedNov 1, 2002 to Sep 21, 2004 · Springfield, Mo
- A••••• W••••• M••••••••• to G••••• R••••••••• P••••••• L••left May 6, 2016, registered Dec 16, 2016 (224 days) · Other
- I••••• F•••••••• C••••••••• to A••••• W••••• M•••••••••left Aug 20, 2013, registered Sep 9, 2013 (20 days) · Other
- L•• F•••••••• L•• to I••••• F•••••••• C•••••••••left Apr 11, 2011, registered May 4, 2011 (23 days) · Other
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Apr 25, 2007, registered Jul 8, 2008 (440 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Sep 21, 2004, registered Aug 17, 2006 (695 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
- Institutional managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address