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.
B•••• T•••••• F•••••
- F•••••••• D••••• G••••• L•• independent RIA currentsince Apr 18, 2022 · Lavista, Ne
- C••••• A••••••• L•• formerFeb 18, 2011 to Jul 18, 2022 · Omaha, Ne
- Q•• F•••••••• L•• unclassifiedSep 7, 2007 to Feb 11, 2011 · Omaha, Ne
- O•••• F•• I••• formerJan 30, 1998 to Aug 31, 2007 · Omaha, Ne
- C••••• A••••••• L•• to F•••••••• D••••• G••••• L••left Jul 18, 2022, registered Apr 18, 2022 (-91 days) · Affiliated broker-dealer or bank to independent RIA
- Q•• F•••••••• L•• to C••••• A••••••• L••left Feb 11, 2011, registered Feb 18, 2011 (7 days) · Other
- O•••• F•• I••• to Q•• F•••••••• L••left Aug 31, 2007, registered Sep 7, 2007 (7 days) · Other
- B•••• T•••••• F••••• left C••••• A••••••• L•• for F•••••••• D••••• G••••• L•• (registered 2022-04-18)Jul 18, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address