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•••• M•••••• C•••••••••
- R•• C•••••• M••••••• L•• national BD currentsince Jul 6, 2023 · Omaha, Ne
- W••••••••• P••••••• independent RIAAug 1, 2022 to Jul 3, 2023 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 18, 2006 to Jan 11, 2021 · Omaha, Ne
- T• A••••••••• I••• formerOct 18, 2006 to Dec 31, 2020 · Omaha, Ne
- W•••• F•••• A••••••• wirehouseApr 27, 2006 to May 19, 2006 · Charlotte, Nc
- J•• L•••••• S••••••••• I••• unclassifiedJul 15, 2002 to Mar 30, 2006 · Charlotte, Nc
- W••••••••• P••••••• to R•• C•••••• M••••••• L••left Jul 3, 2023, registered Jul 6, 2023 (3 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to W••••••••• P•••••••left Jan 11, 2021, registered Aug 1, 2022 (567 days) · RIA to RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 31, 2020, registered Oct 18, 2006 (-5188 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to T• A••••••••• I•••left May 19, 2006, registered Oct 18, 2006 (152 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•• L•••••• S••••••••• I••• to W•••• F•••• A•••••••left Mar 30, 2006, registered Apr 27, 2006 (28 days) · Other
- S•••• M•••••• C••••••••• left W••••••••• P••••••• for R•• C•••••• M••••••• L•• (registered 2023-07-06)Jul 3, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address