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••••••••• D•••• H•••••••
- O• I••••••••• M••••••••• C• BD affiliated currentsince Nov 26, 2014 · Lee'S Summit, Mo
- O••••••••• S••••••••• I••• BD affiliatedOct 22, 2009 to Dec 8, 2014 · Bartlesville, Ok
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 17, 2008 to Oct 12, 2009 · Lees Summit, Mo
- N•• E•••••• S••••••••• C••••••••• formerJun 11, 2001 to Oct 14, 2008 · Overland Park, Ks
- O••••••••• S••••••••• I••• to O• I••••••••• M••••••••• C•left Dec 8, 2014, registered Nov 26, 2014 (-12 days) · Other
- M•• I•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Oct 12, 2009, registered Oct 22, 2009 (10 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• I•••••••• S•••••••• L••left Oct 14, 2008, registered Nov 17, 2008 (34 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address