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.
G••• A•••• N••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 6, 2020 · Gladstone, Mo
- G••••• W••••• M••••••••• I••• BD affiliatedSep 1, 2009 to Nov 10, 2020 · Overland Park, Ks
- O•••• W•••••• I••• BD affiliatedDec 11, 1997 to Sep 1, 2009 · Overland Park, Ks
- W••••• M••••••••• G•••• O• K•• I••• unclassifiedJul 1, 1993 to Mar 31, 2011 · Overland Park, Ks
- G••••• W••••• M••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 10, 2020, registered Nov 6, 2020 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••••• M••••••••• G•••• O• K•• I••• to O•••• W•••••• I•••left Mar 31, 2011, registered Dec 11, 1997 (-4858 days) · Other
- O•••• W•••••• I••• to G••••• W••••• M••••••••• I•••left Sep 1, 2009, registered Sep 1, 2009 (0 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address