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••••• L••• M••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Wichita, Ks
- C••• B•••••••• S•••••••• I••• formerOct 11, 2021 to May 18, 2022 · Madison, Wi
- O••••••••• • C•• I••• BD affiliatedNov 2, 2017 to Mar 14, 2018 · Fort Worth, Tx
- L•• F•••••••• L•• BD affiliatedMar 22, 2017 to May 25, 2017 · Fort Worth, Tx
- L•••••• I••••••••• independent RIAOct 13, 2016 to Nov 30, 2016 · Irving, Tx
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedSep 16, 2015 to Jul 13, 2016 · Wichita, Ks
- S•••••••• A••••••• L•• national BDNov 19, 2012 to Aug 19, 2015 · Wichita, Ks
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 18, 2008 to Feb 19, 2009 · Wichita, Ks
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJul 3, 2006 to Jan 30, 2007 · Wichita, Ks
- A• G• E•••••• • S•••• I••• unclassifiedNov 21, 2003 to Aug 27, 2004 · Wichita, Ks
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- O••••••••• • C•• I••• to C••• B•••••••• S•••••••• I•••left Mar 14, 2018, registered Oct 11, 2021 (1307 days) · Other
- L•• F•••••••• L•• to O••••••••• • C•• I•••left May 25, 2017, registered Nov 2, 2017 (161 days) · Other
- L•••••• I••••••••• to L•• F•••••••• L••left Nov 30, 2016, registered Mar 22, 2017 (112 days) · Other
- T••••••••• R••••••••• A•••••••• L•• to L•••••• I•••••••••left Jul 13, 2016, registered Oct 13, 2016 (92 days) · Other
- S•••••••• A••••••• L•• to T••••••••• R••••••••• A•••••••• L••left Aug 19, 2015, registered Sep 16, 2015 (28 days) · Other
- C•••••••• G••••• M•••••• I••• to S•••••••• A••••••• L••left Feb 19, 2009, registered Nov 19, 2012 (1369 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to C•••••••• G••••• M•••••• I•••left Jan 30, 2007, registered Jul 18, 2008 (535 days) · Other
- A• G• E•••••• • S•••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Aug 27, 2004, registered Jul 3, 2006 (675 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address