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.
D•••• L••• T•••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Sep 10, 2015 · Overland Park, Ks
- W•••••• • R••• formerSep 20, 2012 to Aug 25, 2015 · Shawnee, Ks
- A••••••• C•••••• A••••••• S•••••••• I••• formerMar 17, 2006 to Sep 10, 2012 · Kansas City, Mo
- C•••••• C••• F•••••••• S•••••••• I••• formerAug 26, 2003 to Apr 30, 2004 · Shawnee Mission, Ks
- S••••••• W••••• A•••••••• I••• unclassifiedDec 1, 2000 to Feb 25, 2003 · Overland Park, Ks
- W•••••• • R••• to P•••••••• S••••••••• I•••left Aug 25, 2015, registered Sep 10, 2015 (16 days) · Other
- A••••••• C•••••• A••••••• S•••••••• I••• to W•••••• • R•••left Sep 10, 2012, registered Sep 20, 2012 (10 days) · Other
- C•••••• C••• F•••••••• S•••••••• I••• to A••••••• C•••••• A••••••• S•••••••• I•••left Apr 30, 2004, registered Mar 17, 2006 (686 days) · Other
- S••••••• W••••• A•••••••• I••• to C•••••• C••• F•••••••• S•••••••• I•••left Feb 25, 2003, registered Aug 26, 2003 (182 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