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•••• R••••• B••••
- P•••••••• A••••••• national BD currentsince Jan 16, 2019 · Overland Park, Ks
- P•••••••• A••••••• national BDAug 27, 2012 to Feb 28, 2014 · Overland Park, Ks
- N•• E•••••• S••••••••• C••••••••• formerNov 20, 2009 to Sep 1, 2010 · Overland Park, Ks
- M•••• C••••••• A••••••• S•••••• BD affiliatedJul 11, 2002 to Sep 19, 2003 · Lee'S Summit, Mo
- N•• E•••••• S••••••••• C••••••••• to P•••••••• A•••••••left Sep 1, 2010, registered Aug 27, 2012 (726 days) · Other
- M•••• C••••••• A••••••• S•••••• to N•• E•••••• S••••••••• C•••••••••left Sep 19, 2003, registered Nov 20, 2009 (2254 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address