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•••• E••••••• T••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 26, 2022 · Wichita, Ks
- O••••••••• • C•• I••• BD affiliatedMar 20, 2009 to Oct 28, 2022 · Wichita, Ks
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Mar 24, 2009 · Wichita, Ks
- A• G• E•••••• • S•••• I••• unclassifiedDec 16, 1999 to Jan 1, 2008 · Wichita, Ks
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Oct 28, 2022, registered Oct 26, 2022 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Mar 24, 2009, registered Mar 20, 2009 (-4 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- A•••• E••••••• T•••• left O••••••••• • C•• I••• for W•••• F•••• A••••••• (registered 2022-10-26)Oct 28, 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address