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.
T••• F••••••• G••••••
- A• W••••• M••••••••• L•• BD affiliated currentsince Sep 9, 2019 · Springfield, Mo
- D••• H••• A•••••••• I••• independent RIAOct 1, 2014 to Sep 9, 2019 · Kingwood, Tx
- M••••••••• I••••••••• S•••••••• I••• formerOct 27, 2011 to Jul 23, 2014 · Neosho, Mo
- K•••• M••••••••• formerJul 23, 2009 to Oct 27, 2011 · Ponte Vedra Beach, Fl
- S••••••••• F•••••••• G••••• I••• independent RIAApr 29, 2008 to Jun 2, 2009 · Springfield, Mo
- S••••• O•• S••••••••• I••• BD affiliatedFeb 5, 2008 to Mar 12, 2008 · Jackson, Tn
- S••••• O•• S••••••••• I••• BD affiliatedJul 16, 2007 to Feb 4, 2008 · Kearney, Ne
- A••••••• A••••••• S••••••• formerJul 17, 1997 to Apr 16, 2003 · Kearney, Ne
- D••• H••• A•••••••• I••• to A• W••••• M••••••••• L••left Sep 9, 2019, registered Sep 9, 2019 (0 days) · RIA to RIA
- M••••••••• I••••••••• S•••••••• I••• to D••• H••• A•••••••• I•••left Jul 23, 2014, registered Oct 1, 2014 (70 days) · Other
- K•••• M••••••••• to M••••••••• I••••••••• S•••••••• I•••left Oct 27, 2011, registered Oct 27, 2011 (0 days) · Other
- S••••••••• F•••••••• G••••• I••• to K•••• M•••••••••left Jun 2, 2009, registered Jul 23, 2009 (51 days) · Other
- S••••• O•• S••••••••• I••• to S••••••••• F•••••••• G••••• I•••left Mar 12, 2008, registered Apr 29, 2008 (48 days) · Other
- A••••••• A••••••• S••••••• to S••••• O•• S••••••••• I•••left Apr 16, 2003, registered Jul 16, 2007 (1552 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address