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.
S•••• T•••••• C••••
- A•••• W••••• M••••••••• L•• independent RIA currentsince May 13, 2020 · Omaha, Ne
- C••••• A••••••• L•• formerFeb 18, 2011 to May 4, 2020 · Greenwood Village, Co
- Q•• F•••••••• L•• unclassifiedSep 24, 2004 to Feb 11, 2011 · Omaha, Ne
- U•• F•••••••• S••••••• I••• wirehouseMar 23, 2001 to May 7, 2002 · Omaha, Ne
- C••••• A••••••• L•• to A•••• W••••• M••••••••• L••left May 4, 2020, registered May 13, 2020 (9 days) · Affiliated broker-dealer or bank to independent RIA
- Q•• F•••••••• L•• to C••••• A••••••• L••left Feb 11, 2011, registered Feb 18, 2011 (7 days) · Other
- U•• F•••••••• S••••••• I••• to Q•• F•••••••• L••left May 7, 2002, registered Sep 24, 2004 (871 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address