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.
S•••• D••••• V•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 10, 2017 · Fairfield, Ia
- D••• I••••••••• L•• formerOct 27, 2016 to Jun 28, 2017 · Gilbert, Az
- V•• A••••••• S••••••• formerMar 12, 2007 to Oct 1, 2016 · Overland Park, Ks
- C••• B•••••••• S•••••••• I••• formerMay 8, 2006 to Mar 13, 2007 · Overland Park, Ks
- D••• I••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 28, 2017, registered Jul 10, 2017 (12 days) · Other
- V•• A••••••• S••••••• to D••• I••••••••• L••left Oct 1, 2016, registered Oct 27, 2016 (26 days) · Other
- C••• B•••••••• S•••••••• I••• to V•• A••••••• S•••••••left Mar 13, 2007, registered Mar 12, 2007 (-1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address