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•••••• A••• K•••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Aug 15, 2016 · Chesterfield, Mo
- F•••••••• E•••••• A•••••• C•••••• L•• formerJul 1, 2016 to Dec 1, 2016 · Scottsdale, Az
- T•• M••••• F••• S•••• unclassifiedNov 19, 2012 to Aug 4, 2016 · Scottsdale, Az
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 13, 2011 to Oct 25, 2012 · Draper, Ut
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 27, 2007 to Jan 5, 2010 · Bellevue, Ne
- T• A••••••••• I••• formerSep 27, 2007 to Oct 25, 2012 · Omaha, Ne
- W•••• F•••• I••••••••• L•• unclassifiedJun 21, 2006 to Sep 19, 2007 · Phoenix, Az
- F•••••••• E•••••• A•••••• C•••••• L•• to E•••••• F•••••••• E••••••left Dec 1, 2016, registered Aug 15, 2016 (-108 days) · corporate re-registration, not a move
- T•• M••••• F••• S•••• to F•••••••• E•••••• A•••••• C•••••• L••left Aug 4, 2016, registered Jul 1, 2016 (-34 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T•• M••••• F••• S••••left Oct 25, 2012, registered Nov 19, 2012 (25 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 25, 2012, registered Dec 13, 2011 (-317 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 5, 2010, registered Sep 27, 2007 (-831 days) · channel change inside one enterprise, not a move
- W•••• F•••• I••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Sep 19, 2007, registered Sep 27, 2007 (8 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