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•••••• BD affiliated currentsince Oct 16, 2017 · Omaha, Ne
- M•••••• W••••• A••••••• formerOct 16, 2017 to Mar 31, 2018 · Omaha, Ne
- A•••••• P••••••• P•••••••• I••• BD affiliatedAug 19, 2013 to Oct 13, 2017 · Omaha, Ne
- C••• L•• BD affiliatedJul 1, 2011 to Aug 12, 2013 · Omaha, Ne
- L•• F•••••••• L•• BD affiliatedNov 2, 2007 to Aug 1, 2011 · Omaha, Ne
- C••••• I••••••••• S••••••• L•• formerMar 12, 2004 to Oct 31, 2007 · Omaha, Ne
- M•••••• W••••• A••••••• to M••••••left Mar 31, 2018, registered Oct 16, 2017 (-166 days) · Other · moved with a team
- A•••••• P••••••• P•••••••• I••• to M•••••• W••••• A•••••••left Oct 13, 2017, registered Oct 16, 2017 (3 days) · Other · moved with a team
- C••• L•• to A•••••• P••••••• P•••••••• I•••left Aug 12, 2013, registered Aug 19, 2013 (7 days) · Other
- L•• F•••••••• L•• to C••• L••left Aug 1, 2011, registered Jul 1, 2011 (-31 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Oct 31, 2007, registered Nov 2, 2007 (2 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