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••• D•••• B•••••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Aug 29, 2022 · Overland Park, Ks
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 1, 2020 to Aug 17, 2022 · Leawood, Ks
- O••••••••• S••••••••• I••• BD affiliatedDec 6, 2017 to May 6, 2020 · Leawood, Ks
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to May 11, 2017 · St. Louis, Mo
- M•• F•••••••• S•••••••• I••• formerOct 31, 2012 to Mar 25, 2017 · St. Louis, Mo
- N•• E•••••• S••••••••• C••••••••• formerAug 7, 2002 to Jan 2, 2015 · St. Louis, Mo
- N••••••••• M••••• I••••••••• S••••••••• to P•••••••• S••••••••• I•••left Aug 17, 2022, registered Aug 29, 2022 (12 days) · Other
- O••••••••• S••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left May 6, 2020, registered Jun 1, 2020 (26 days) · Other
- M•• I•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left May 11, 2017, registered Dec 6, 2017 (209 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Oct 31, 2012 (-793 days) · corporate re-registration, not a move
- D••• D•••• B••••••• left N••••••••• M••••• I••••••••• S••••••••• for P•••••••• S••••••••• I••• (registered 2022-08-29)Aug 17, 2022 · Advisor changed firm · fact
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address