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.
- L•• F•••••••• L•• BD affiliated currentsince Oct 25, 2022 · San Diego, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 18, 2021 to Sep 16, 2022 · Schaumburg, Il
- W•••••• • R••• formerNov 12, 2013 to Aug 23, 2021 · Overland Park, Ks
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 24, 2012 to Jan 3, 2013 · Kansas City, Mo
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Sep 16, 2022, registered Oct 25, 2022 (39 days) · Affiliated broker-dealer or bank to independent RIA
- W•••••• • R••• to C••••• I••••••••• A••••••• L••left Aug 23, 2021, registered Oct 18, 2021 (56 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Jan 3, 2013, registered Nov 12, 2013 (313 days) · Other
- J•• S•••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2022-10-25)Sep 16, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address