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.
- W•••• F•••• A••••••• wirehouse currentsince Feb 12, 2020 · Omaha, Ne
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 31, 2020 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedAug 30, 2007 to Jan 3, 2011 · Omaha, Ne
- C••••• I••••••••• S••••••• L•• formerMay 10, 2006 to Aug 3, 2007 · Omaha, Ne
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jan 31, 2020, registered Feb 12, 2020 (12 days) · channel change inside one enterprise, not a move
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to W•••• F•••• I••••••••• L••left Aug 3, 2007, registered Aug 30, 2007 (27 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address