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••• D•••• A••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 14, 2014 · Wichita, Ks
- M•• F•••••••• S•••••••• I••• formerNov 16, 2012 to Jul 31, 2014 · St. Louis, Mo
- N•• E•••••• S••••••••• C••••••••• formerJan 17, 2007 to Jul 31, 2014 · Wichita, Ks
- M•• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 31, 2014, registered Jul 14, 2014 (-17 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jul 31, 2014, registered Nov 16, 2012 (-622 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