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•••••• L••• D••••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 15, 2026 · Topeka, Ks
- S•••••• N••••••• • C••••••• I••••••••• national BDJan 30, 2015 to Jul 8, 2026 · Topeka, Ks
- Q•• F•••••••• L•• unclassifiedSep 18, 2003 to Aug 16, 2007 · Topeka, Ks
- P•••• S•••••• • C•• institutionalJun 26, 1998 to Sep 17, 2003 · Topeka, Ks
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Jul 8, 2026, registered Jun 15, 2026 (-23 days) · Affiliated broker-dealer or bank to wirehouse
- Q•• F•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Aug 16, 2007, registered Jan 30, 2015 (2724 days) · Other
- P•••• S•••••• • C•• to Q•• F•••••••• L••left Sep 17, 2003, registered Sep 18, 2003 (1 days) · Other
- J•••••• L••• D•••••• left S•••••• N••••••• • C••••••• I••••••••• for W•••• F•••• A••••••• (registered 2026-06-15)Jul 8, 2026 · 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address