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.
J••• W•••••• H•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Colby, Ks
- W•••••• • R••• formerFeb 11, 2020 to Jul 21, 2021 · Edmond, Ok
- B•• H••••• F•••••••• A•••••••• I•• formerAug 1, 2012 to Feb 11, 2020 · Leawood, Ks
- M•• F•••••••• A•••••••• I••• formerApr 20, 2012 to Aug 1, 2012 · Leawood, Ks
- U•• F•••••••• S••••••• I••• wirehouseSep 13, 2002 to Aug 1, 2006 · Overland Park, Ks
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 27, 1996 to Sep 19, 2002 · Kansas City, Mo
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- B•• H••••• F•••••••• A•••••••• I•• to W•••••• • R•••left Feb 11, 2020, registered Feb 11, 2020 (0 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• A•••••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Aug 1, 2012, registered Aug 1, 2012 (0 days) · channel change inside one enterprise, not a move
- U•• F•••••••• S••••••• I••• to M•• F•••••••• A•••••••• I•••left Aug 1, 2006, registered Apr 20, 2012 (2089 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Sep 19, 2002, registered Sep 13, 2002 (-6 days) · Wirehouse to wirehouse
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