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.
T•••• S• S••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince May 28, 2009 · Shawnee, Ks
- S••••• F•••••••• S•••••••• I••• formerAug 19, 2008 to Feb 2, 2009 · Olathe, Ks
- P•••• S••••••••• L•• no RAUMApr 7, 2000 to Jul 9, 2008 · St. Louis, Mo
- S••••• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left Feb 2, 2009, registered May 28, 2009 (115 days) · Other
- P•••• S••••••••• L•• to S••••• F•••••••• S•••••••• I•••left Jul 9, 2008, registered Aug 19, 2008 (41 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