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••••• J••• W••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2020 · San Clemente, Ca
- W•••••• C••••••••• unclassifiedJun 5, 2019 to Jan 15, 2020 · San Clemente, Ca
- W•••••• • R••• formerDec 19, 2006 to Feb 4, 2019 · Overland Park, Ks
- A••••••••• F•••••••• S•••••••• L•• national BDNov 9, 2000 to Nov 6, 2006 · Overland Park, Ks
- W•••••• C••••••••• to L•• F•••••••• L••left Jan 15, 2020, registered May 18, 2020 (124 days) · Other
- W•••••• • R••• to W•••••• C•••••••••left Feb 4, 2019, registered Jun 5, 2019 (121 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Nov 6, 2006, registered Dec 19, 2006 (43 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address