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.
R•••• G•••••• L••
- C••••••• F•••••••• D••••••• I••• BD affiliated currentsince Apr 2, 2008 · Kokomo, In
- N••• F•••••••• G••••• I••• formerMay 2, 2006 to Apr 15, 2008 · Overland Park, Ks
- W•••••• • R••• formerMar 4, 1999 to May 8, 2006 · Overland Park, Ks
- N••• F•••••••• G••••• I••• to C••••••• F•••••••• D••••••• I•••left Apr 15, 2008, registered Apr 2, 2008 (-13 days) · Other
- W•••••• • R••• to N••• F•••••••• G••••• I•••left May 8, 2006, registered May 2, 2006 (-6 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address