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.
A••• J••• B•••••
- V•••••• A•••••••• I••• BD affiliated currentsince Nov 28, 2022 · Callaway, Ne
- L•• F•••••••• L•• BD affiliatedSep 4, 2020 to Dec 15, 2022 · Omaha, Ne
- C••••• A••••••• L•• formerJun 5, 2006 to Sep 1, 2020 · Omaha, Ne
- O•••• W•••••• I••• BD affiliatedApr 28, 2003 to Jun 1, 2006 · Omaha, Ne
- L•• F•••••••• L•• to V•••••• A•••••••• I•••left Dec 15, 2022, registered Nov 28, 2022 (-17 days) · RIA to affiliated broker-dealer or bank
- C••••• A••••••• L•• to L•• F•••••••• L••left Sep 1, 2020, registered Sep 4, 2020 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- O•••• W•••••• I••• to C••••• A••••••• L••left Jun 1, 2006, registered Jun 5, 2006 (4 days) · Other
- A••• J••• B••••• left L•• F•••••••• L•• for V•••••• A•••••••• I••• (registered 2022-11-28)Dec 15, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address