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.
B•••• C•••••• L••••
- O•••• P•••••••• S••••••••• L•• BD affiliated currentsince Jan 24, 2023 · Omaha, Ne
- O•••• P•••••••• S••••••••• L•• formerJan 23, 2020 to Jan 6, 2023 · Geneva, Il
- O•••• P•••••••• S••••••••• L•• formerJan 5, 2017 to Dec 31, 2019 · Hebron, Ky
- E•••••••• P•• independent RIAMay 10, 2007 to Feb 16, 2011 · Berwyn, Pa
- C••••• A•••••• N••••••• L•• formerApr 28, 2004 to Mar 23, 2006 · Geneva, Il
- F•• S••••••••• C••••••••• formerJul 11, 2003 to Jan 23, 2004 · Geneva, Il
- O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••left Jan 6, 2023, registered Jan 24, 2023 (18 days) · corporate re-registration, not a move
- E•••••••• P•• to O•••• P•••••••• S••••••••• L••left Feb 16, 2011, registered Jan 5, 2017 (2150 days) · Other
- C••••• A•••••• N••••••• L•• to E•••••••• P••left Mar 23, 2006, registered May 10, 2007 (413 days) · Other
- F•• S••••••••• C••••••••• to C••••• A•••••• N••••••• L••left Jan 23, 2004, registered Apr 28, 2004 (96 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
- 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