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.
J•••• S•••••• E••••••
- C••••••• P••••••• independent RIA currentsince Oct 4, 2024 · Overland Park, Ks
- E•••••• D••••• R••••••••• I••••••••• A•••••••• L•• formerAug 30, 2013 to Dec 5, 2024 · Lawrence, Ks
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 6, 2013 · Lawrence, Ks
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Lawrence, Ks
- M••••• S•••••• D• I••• unclassifiedApr 22, 2005 to Apr 2, 2007 · Lawrence, Ks
- R••••• W• B•••• • C•• I••••••••• mixed wealthMay 31, 2000 to Apr 26, 2005 · Lawrence, Ks
- E•••••• D••••• R••••••••• I••••••••• A•••••••• L•• to C••••••• P•••••••left Dec 5, 2024, registered Oct 4, 2024 (-62 days) · RIA to RIA · moved with a team
- M••••• S•••••• to E•••••• D••••• R••••••••• I••••••••• A•••••••• L••left Sep 6, 2013, registered Aug 30, 2013 (-7 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- R••••• W• B•••• • C•• I••••••••• to M••••• S•••••• D• I•••left Apr 26, 2005, registered Apr 22, 2005 (-4 days) · Other
- J•••• S•••••• E•••••• left E•••••• D••••• R••••••••• I••••••••• A•••••••• L•• for C••••••• P••••••• (registered 2024-10-04)Dec 5, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address