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.
T••••• J•• H•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 16, 2023 · Leawood, Ks
- O••••••••• • C•• I••• BD affiliatedAug 29, 2014 to Mar 17, 2023 · Leawood, Ks
- U•• F•••••••• S••••••• I••• wirehouseMar 9, 2007 to Sep 9, 2014 · Leawood, Ks
- M••••• S•••••• D• I••• unclassifiedAug 25, 2000 to Mar 12, 2007 · Overlandpark, Ks
- O••••••••• • C•• I••• to R•••••• J•••• • A••••••••• I•••left Mar 17, 2023, registered Mar 16, 2023 (-1 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left Sep 9, 2014, registered Aug 29, 2014 (-11 days) · Other
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Mar 12, 2007, registered Mar 9, 2007 (-3 days) · Other
- T••••• J•• H••••• left O••••••••• • C•• I••• for R•••••• J•••• • A••••••••• I••• (registered 2023-03-16)Mar 17, 2023 · Advisor changed firm · fact
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address