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.
C••••••••• M•••••• G•••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 22, 2021 · Salina, Ks
- L•• F•••••••• L•• BD affiliatedJul 21, 2021 to Dec 22, 2021 · Edmond, Ok
- W•••••• • R••• formerJun 19, 2017 to Jul 21, 2021 · Salina, Ks
- U••••• C•••••• M••••••••• O• K•••••• I••• independent RIAJan 20, 2012 to Jun 20, 2017 · Salina, Ks
- S••••• A••• A•••• M••••••••• I••• formerJan 10, 2005 to Sep 9, 2015 · Salina, Ks
- S•••••• A••• • L••••• I••• unclassifiedFeb 10, 2004 to Feb 27, 2004 · Salina, Ks
- W•••••• • R••• formerDec 1, 1997 to Oct 13, 2003 · Salina, Ks
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- U••••• C•••••• M••••••••• O• K•••••• I••• to W•••••• • R•••left Jun 20, 2017, registered Jun 19, 2017 (-1 days) · Other
- S••••• A••• A•••• M••••••••• I••• to U••••• C•••••• M••••••••• O• K•••••• I•••left Sep 9, 2015, registered Jan 20, 2012 (-1328 days) · Other · moved with a team
- S•••••• A••• • L••••• I••• to S••••• A••• A•••• M••••••••• I•••left Feb 27, 2004, registered Jan 10, 2005 (318 days) · Other
- W•••••• • R••• to S•••••• A••• • L••••• I•••left Oct 13, 2003, registered Feb 10, 2004 (120 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address