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.
- S••••••••• 4••• no RAUM currentsince Jan 16, 2020 · Spearfish, Sd
- M• H••••••• S••••••••• I••• BD affiliatedJun 29, 2017 to Jul 20, 2018 · Portland, Or
- C•••••• O•• A•••••••• L•• formerSep 5, 2013 to Feb 3, 2016 · Mclean, Va
- A••••••• A••••••• S••••••• formerJul 20, 2012 to Jul 31, 2013 · Lincoln, Ne
- T• A••••••••• I••• formerApr 8, 2010 to Apr 17, 2012 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 26, 2003 to Apr 17, 2012 · Bellevue, Ne
- M• H••••••• S••••••••• I••• to S••••••••• 4•••left Jul 20, 2018, registered Jan 16, 2020 (545 days) · Affiliated broker-dealer or bank to a newly registered adviser
- C•••••• O•• A•••••••• L•• to M• H••••••• S••••••••• I•••left Feb 3, 2016, registered Jun 29, 2017 (512 days) · Other
- A••••••• A••••••• S••••••• to C•••••• O•• A•••••••• L••left Jul 31, 2013, registered Sep 5, 2013 (36 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 17, 2012, registered Apr 8, 2010 (-740 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to A••••••• A••••••• S•••••••left Apr 17, 2012, registered Jul 20, 2012 (94 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
- No RAUM reportedderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address