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.
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- A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I••• BD affiliated currentsince Feb 28, 2022 · Leawood, Ks
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAOct 9, 2018 to Aug 23, 2021 · O••••, Ne
- U••• B•••••• I••••••••• I••• formerAug 20, 2018 to Aug 30, 2018 · Saint Paul, Mn
- M•• I•••••••• S•••••••• L•• BD affiliatedDec 8, 2016 to Apr 6, 2017 · Omaha, Ne
- W•••••• • R••• formerJun 29, 2015 to Jun 15, 2016 · Savage, Mn
- F•• I••••••••• M••••••••• S•••••••• I••• formerJan 23, 2009 to Jun 26, 2015 · West Des Moines, Ia
- M••••• O• O•••• I••••••• S•••••••• I••• to A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I•••left Aug 23, 2021, registered Feb 28, 2022 (189 days) · Other
- U••• B•••••• I••••••••• I••• to M••••• O• O•••• I••••••• S•••••••• I•••left Aug 30, 2018, registered Oct 9, 2018 (40 days) · Other
- M•• I•••••••• S•••••••• L•• to U••• B•••••• I••••••••• I•••left Apr 6, 2017, registered Aug 20, 2018 (501 days) · Other
- W•••••• • R••• to M•• I•••••••• S•••••••• L••left Jun 15, 2016, registered Dec 8, 2016 (176 days) · Other
- F•• I••••••••• M••••••••• S•••••••• I••• to W•••••• • R•••left Jun 26, 2015, registered Jun 29, 2015 (3 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