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.
P•••••• F•••••••• F•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 7, 2023 · Lawrence, Ks
- A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I••• BD affiliatedNov 10, 2020 to Nov 17, 2021 · Kansas City, Mo
- W•••••• • R••• formerJun 2, 2011 to Nov 18, 2019 · Overland Park, Ks
- S•••• W••••• M••••••••• L•• BD affiliatedDec 6, 2001 to Apr 29, 2011 · Mclean, Va
- A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 17, 2021, registered Aug 7, 2023 (628 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I•••left Nov 18, 2019, registered Nov 10, 2020 (358 days) · Affiliated broker-dealer or bank to another
- S•••• W••••• M••••••••• L•• to W•••••• • R•••left Apr 29, 2011, registered Jun 2, 2011 (34 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