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.
C•••••• R••••• A•••••
- M••••• A•••••••• L•• BD affiliated currentsince Nov 18, 2021 · Omaha, Ne
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAAug 18, 2020 to Nov 18, 2021 · O••••, Ne
- S••••••••• A•••••• A•••••••• I••• formerJun 8, 2012 to Dec 11, 2019 · Loomis, Ca
- M••••• O• O•••• I••••••• S•••••••• I••• to M••••• A•••••••• L••left Nov 18, 2021, registered Nov 18, 2021 (0 days) · Other
- S••••••••• A•••••• A•••••••• I••• to M••••• O• O•••• I••••••• S•••••••• I•••left Dec 11, 2019, registered Aug 18, 2020 (251 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