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•••• M•••••• S••••
- C••••••• P••••••• independent RIA currentsince Dec 20, 2021 · Omaha, Ne
- L•••••• I••••••••• A•••••••• L•• no RAUMFeb 16, 2018 to Dec 17, 2021 · Omaha, Ne
- C••••••• P••••••• I••••••••• A•••••••• L•• i••••••••• managerDec 1, 2010 to Feb 8, 2018 · Omaha, Ne
- C••••• A••••••• L•• formerJun 23, 2006 to Nov 26, 2010 · Omaha, Ne
- O•••• W•••••• I••• BD affiliatedMar 21, 2002 to Jun 23, 2006 · Omaha, Ne
- L•••••• I••••••••• A•••••••• L•• to C••••••• P•••••••left Dec 17, 2021, registered Dec 20, 2021 (3 days) · corporate re-registration, not a move
- C••••••• P••••••• I••••••••• A•••••••• L•• to L•••••• I••••••••• A•••••••• L••left Feb 8, 2018, registered Feb 16, 2018 (8 days) · Other
- C••••• A••••••• L•• to C••••••• P••••••• I••••••••• A•••••••• L••left Nov 26, 2010, registered Dec 1, 2010 (5 days) · Other
- O•••• W•••••• I••• to C••••• A••••••• L••left Jun 23, 2006, registered Jun 23, 2006 (0 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address