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.
M•••••• J• L••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 10, 2020 · Geneva, Ne
- S•••••••• F••••••••• I••• formerMay 2, 2014 to Jan 8, 2020 · Omaha, Ne
- E•••••••• A•••••••• L•• national BDSep 7, 2012 to May 2, 2014 · Omaha, Ne
- H•••• W••••• A•••••••• L•• formerJun 15, 2012 to Jul 26, 2012 · Omaha, Ne
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 24, 2006 to Aug 29, 2007 · Omaha, Ne
- E•••••••• A•••••••• L•• national BDMar 17, 2000 to Mar 22, 2006 · Omaha, Ne
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Jan 8, 2020, registered Jan 10, 2020 (2 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to S•••••••• F••••••••• I•••left May 2, 2014, registered May 2, 2014 (0 days) · Other
- H•••• W••••• A•••••••• L•• to E•••••••• A•••••••• L••left Jul 26, 2012, registered Sep 7, 2012 (43 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••• W••••• A•••••••• L••left Aug 29, 2007, registered Jun 15, 2012 (1752 days) · Other
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 22, 2006, registered Mar 24, 2006 (2 days) · Affiliated broker-dealer or bank to wirehouse
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address