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••••••• L••• S•••• K••••••
- G•••••••• W••••• P••••••• BD affiliated currentsince Mar 2, 2022 · Palm Beach Gardens, Fl
- S••••••••• A•••••• G••••• L•• formerFeb 28, 2017 to Mar 31, 2022 · Omaha, Ne
- W••••••••• P••••••• formerApr 22, 2015 to Aug 22, 2017 · Omaha, Ne
- D••• D••••••• • C•• independent RIAApr 24, 2007 to Apr 20, 2015 · Omaha, Ne
- S••••••••• A•••••• G••••• L•• to G•••••••• W••••• P•••••••left Mar 31, 2022, registered Mar 2, 2022 (-29 days) · RIA to RIA · moved with a team
- W••••••••• P••••••• to S••••••••• A•••••• G••••• L••left Aug 22, 2017, registered Feb 28, 2017 (-175 days) · Other
- D••• D••••••• • C•• to W••••••••• P•••••••left Apr 20, 2015, registered Apr 22, 2015 (2 days) · Other
- P••••••• L••• S•••• K•••••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2022-03-02)Mar 31, 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address