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.
R••••• R•• B•••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 2, 2018 · Lincoln, Ne
- P••••••• F•••••••• S•••••••• I••• BD affiliatedDec 17, 2010 to Nov 2, 2018 · Dallas, Tx
- L•• F•••••••• L•• BD affiliatedJul 21, 1998 to Dec 2, 2010 · Lincoln, Ne
- P••••••• F•••••••• S•••••••• I••• to K••••• A••••••• S•••••••• L••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to P••••••• F•••••••• S•••••••• I•••left Dec 2, 2010, registered Dec 17, 2010 (15 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address