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.
S•••• B•••••• H••••••••
- C••••••••• W•••••• L•• independent RIA currentsince Apr 15, 2021 · Leawood, Ks
- S••••••••• A•••••• A•••••••• I••• formerNov 14, 2014 to Apr 15, 2021 · Topeka, Ks
- S••••• F•••••••• S•••••••• I••• formerApr 9, 1999 to Nov 14, 2014 · Topeka, Ks
- S••••••••• A•••••• A•••••••• I••• to C••••••••• W•••••• L••left Apr 15, 2021, registered Apr 15, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S••••• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Nov 14, 2014, registered Nov 14, 2014 (0 days) · corporate re-registration, not a move
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address