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•••• S•••••• H•••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 19, 2023 · Ashland, Ne
- P•••••••• S••••••••• I••• BD affiliatedMay 16, 2011 to Sep 29, 2023 · Elkhorn, Ne
- A••••••• A••••••• S••••••• formerNov 6, 2009 to May 2, 2011 · Omaha, Ne
- C••••••••• A•••••••• I•• formerDec 14, 2007 to Oct 27, 2009 · Omaha, Ne
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Sep 29, 2023, registered Sep 19, 2023 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••• A••••••• S••••••• to P•••••••• S••••••••• I•••left May 2, 2011, registered May 16, 2011 (14 days) · Other
- C••••••••• A•••••••• I•• to A••••••• A••••••• S•••••••left Oct 27, 2009, registered Nov 6, 2009 (10 days) · Other
- M•••• S•••••• H••••••• left P•••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-09-19)Sep 29, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address