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.
T•••••• C•••• M•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 9, 2023 · Overland Park, Ks
- S••••••••• A•••••• A•••••••• I••• formerMay 21, 2018 to May 18, 2023 · Overland Park, Ks
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 19, 2013 to May 23, 2018 · Overland Park, Ks
- C••••••••• C•••••• S••••••••• I••• independent RIANov 13, 2006 to Aug 20, 2008 · Fort Atkinson, Wi
- V•• A••••••• S••••••• formerFeb 7, 2003 to Nov 13, 2006 · Overland Pk, Ks
- T•• M••••••• I••• unclassifiedNov 26, 2001 to Feb 7, 2003 · Overland Pk, Ks
- S••••••••• A•••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 18, 2023, registered May 9, 2023 (-9 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• I•••••••• S•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left May 23, 2018, registered May 21, 2018 (-2 days) · Affiliated broker-dealer or bank to another
- C••••••••• C•••••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Aug 20, 2008, registered Apr 19, 2013 (1703 days) · Other
- V•• A••••••• S••••••• to C••••••••• C•••••• S••••••••• I•••left Nov 13, 2006, registered Nov 13, 2006 (0 days) · Other
- T•• M••••••• I••• to V•• A••••••• S•••••••left Feb 7, 2003, registered Feb 7, 2003 (0 days) · corporate re-registration, not a move
- T•••••• C•••• M••••••• left S••••••••• A•••••• A•••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-05-09)May 18, 2023 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address