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.
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- C••••• P••••••• P••••••• independent RIA currentsince Sep 13, 2019 · Leawood, Ks
- C••••••• P••••••• independent RIAJul 19, 2018 to Sep 9, 2019 · Overland Park, Ks
- U•• F•••••••• S•••••••• I••• independent RIANov 23, 2015 to Jun 27, 2018 · Kansas City, Mo
- F•••••••• E•••••• A•••••• C•••••• L•• formerDec 18, 2014 to Nov 11, 2015 · Overland Park, Ks
- C••••••• P••••••• to C••••• P••••••• P•••••••left Sep 9, 2019, registered Sep 13, 2019 (4 days) · RIA to RIA
- U•• F•••••••• S•••••••• I••• to C••••••• P•••••••left Jun 27, 2018, registered Jul 19, 2018 (22 days) · Affiliated broker-dealer or bank to independent RIA
- F•••••••• E•••••• A•••••• C•••••• L•• to U•• F•••••••• S•••••••• I•••left Nov 11, 2015, registered Nov 23, 2015 (12 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address