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.
D••••• G••••• P•••••••••
- V••••• W••••• C••••••• L•• state registered currentsince Sep 27, 2018 · Omaha, Ne
- Q•••••• A•••• M••••••••• I••• formerDec 14, 2015 to Sep 26, 2018 · Omaha, Ne
- M•••••• I••••••••• C•••••• L•• formerSep 16, 2013 to Nov 2, 2015 · San Juan, Pr
- M•••••• W••••• A••••••• formerDec 10, 2001 to Jul 9, 2012 · Omaha, Ne
- Q•••••• A•••• M••••••••• I••• to V••••• W••••• C••••••• L••left Sep 26, 2018, registered Sep 27, 2018 (1 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• I••••••••• C•••••• L•• to Q•••••• A•••• M••••••••• I•••left Nov 2, 2015, registered Dec 14, 2015 (42 days) · Other
- M•••••• W••••• A••••••• to M•••••• I••••••••• C•••••• L••left Jul 9, 2012, registered Sep 16, 2013 (434 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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address