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.
M•••••• A•••• R••••
- F•••• C•••••• A••••••• S••••••• BD affiliated currentsince May 5, 2021 · Fort Worth, Tx
- B••••••• I••••••••• S•••••••• I••• ••••• formerMar 20, 2018 to May 3, 2021 · Omaha, Ne
- A•••• P•••• A••••••• formerSep 12, 2014 to Mar 13, 2018 · La Vista, Ne
- S••••••••• A•••••• A•••••••• I••• formerJul 7, 2010 to Mar 13, 2018 · La Vista, Ne
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 10, 2008 to Feb 17, 2009 · Windsor, Ct
- S••••••••• A•••••• A•••••••• I••• formerDec 8, 2006 to Oct 16, 2008 · La Vista, Ne
- B••••••• I••••••••• S•••••••• I••• ••••• to F•••• C•••••• A••••••• S•••••••left May 3, 2021, registered May 5, 2021 (2 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to A•••• P•••• A•••••••left Mar 13, 2018, registered Sep 12, 2014 (-1278 days) · channel change inside one enterprise, not a move
- A•••• P•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Mar 13, 2018, registered Mar 20, 2018 (7 days) · Other
- V••• F•••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Feb 17, 2009, registered Jul 7, 2010 (505 days) · Other
- S••••••••• A•••••• A•••••••• I••• to V••• F•••••••• A•••••••• I•••left Oct 16, 2008, registered Nov 10, 2008 (25 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address