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.
L••••••• C•••••• R•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 20, 2020 · Lincoln, Ne
- P•••••• W••••• A•••••••• I••• independent RIAAug 13, 2013 to Nov 6, 2015 · Omaha, Ne
- M•••• F•••••••• A•••••••• I•• formerFeb 3, 2005 to Aug 1, 2013 · Lincoln, Ne
- S•••• H•••• A••••••• I•• formerJan 25, 2005 to Jan 31, 2005 · Lincoln, Ne
- P•••••• W••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 6, 2015, registered Oct 20, 2020 (1810 days) · Other
- M•••• F•••••••• A•••••••• I•• to P•••••• W••••• A•••••••• I•••left Aug 1, 2013, registered Aug 13, 2013 (12 days) · Other
- S•••• H•••• A••••••• I•• to M•••• F•••••••• A•••••••• I••left Jan 31, 2005, registered Feb 3, 2005 (3 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address