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••••• E••••• W•••••
- A•••• C•••••• G••••• L•• independent RIA currentsince Sep 18, 2017 · Omaha, Ne
- D••• D••••••• • C•• independent RIAAug 1, 2016 to Sep 18, 2017 · Omaha, Ne
- S•••• H•••• A••••••• I•• formerSep 19, 2014 to Jul 28, 2016 · Omaha, Ne
- C••• L•• BD affiliatedJul 1, 2011 to Sep 17, 2014 · Omaha, Ne
- L•• F•••••••• L•• BD affiliatedJul 11, 2001 to Aug 1, 2011 · Omaha, Ne
- D••• D••••••• • C•• to A•••• C•••••• G••••• L••left Sep 18, 2017, registered Sep 18, 2017 (0 days) · Other · moved with a team
- S•••• H•••• A••••••• I•• to D••• D••••••• • C••left Jul 28, 2016, registered Aug 1, 2016 (4 days) · corporate re-registration, not a move
- C••• L•• to S•••• H•••• A••••••• I••left Sep 17, 2014, registered Sep 19, 2014 (2 days) · Other
- L•• F•••••••• L•• to C••• L••left Aug 1, 2011, registered Jul 1, 2011 (-31 days) · Other
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address