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.
J••• C••••••••• K••••
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 7, 2022 · Papillion, Ne
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 19, 2017 to Apr 7, 2022 · Bellevue, Ne
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Jun 13, 2017 · Bellevue, Ne
- C••••• I••••••••• S••••••• L•• formerJun 22, 2011 to Jan 21, 2014 · Bellevue, Ne
- S••••••• C••••••• L•• unclassifiedOct 31, 2003 to Jun 28, 2011 · Bellevue, Ne
- P•••• S•••••• • C•• institutionalMar 2, 2001 to Aug 29, 2003 · Omaha, Ne
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• F•••••••• N••••••left Apr 7, 2022, registered Apr 7, 2022 (0 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 13, 2017, registered Jun 19, 2017 (6 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- S••••••• C••••••• L•• to C••••• I••••••••• S••••••• L••left Jun 28, 2011, registered Jun 22, 2011 (-6 days) · Other
- P•••• S•••••• • C•• to S••••••• C••••••• L••left Aug 29, 2003, registered Oct 31, 2003 (63 days) · Other
- J••• C••••••••• K•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C••••••••• F•••••••• N•••••• (registered 2022-04-07)Apr 7, 2022 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address