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.
N••••••• J•••• B•••••
- C••••••• P••••••• independent RIA currentsince May 1, 2018 · Overland Park, Ks
- L••••• K•••••• I••••••••• M••••••••• I•• independent RIAJan 12, 2015 to Mar 30, 2018 · Omaha, Ne
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 23, 2015 · Omaha, Ne
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 16, 2008 to Jun 1, 2009 · Omaha, Ne
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 30, 2003 to Dec 11, 2008 · Los Angeles, Ca
- O•••• W•••••• I••• BD affiliatedMay 14, 2002 to Jul 14, 2003 · Omaha, Ne
- L••••• K•••••• I••••••••• M••••••••• I•• to C••••••• P•••••••left Mar 30, 2018, registered May 1, 2018 (32 days) · RIA to RIA
- M••••• S•••••• to L••••• K•••••• I••••••••• M••••••••• I••left Jan 23, 2015, registered Jan 12, 2015 (-11 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Dec 11, 2008, registered Dec 16, 2008 (5 days) · Other
- O•••• W•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 14, 2003, registered Jul 30, 2003 (16 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address