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•••••• BD affiliated currentsince Sep 10, 2016 · Overland Park, Ks
- M•••••• W••••• A••••••• formerJun 30, 2014 to Sep 9, 2016 · Overland Park, Ks
- U•• F•••••••• S•••••••• I••• independent RIAApr 28, 2010 to Jun 19, 2014 · Kansas City, Mo
- U•• F•••••••• S•••••••• I••• independent RIAJun 22, 2006 to Oct 2, 2009 · Kansas City, Mo
- C••••• I••••••••• S••••••• L•• formerFeb 15, 2005 to Jun 15, 2006 · Olathe, Ks
- M••••• S•••••• D• I••• unclassifiedNov 18, 2003 to Sep 14, 2004 · Kansas City, Mo
- M•••••• W••••• A••••••• to M••••••left Sep 9, 2016, registered Sep 10, 2016 (1 days) · Other
- U•• F•••••••• S•••••••• I••• to M•••••• W••••• A•••••••left Jun 19, 2014, registered Jun 30, 2014 (11 days) · Other
- C••••• I••••••••• S••••••• L•• to U•• F•••••••• S•••••••• I•••left Jun 15, 2006, registered Jun 22, 2006 (7 days) · Other
- M••••• S•••••• D• I••• to C••••• I••••••••• S••••••• L••left Sep 14, 2004, registered Feb 15, 2005 (154 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