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.
N••••••• A•••• N•••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Feb 21, 2007 · Overland Park, Ks
- N•••••• F•••••••• G••••• I••• independent RIAMay 20, 2004 to Dec 8, 2005 · Overland Park, Ks
- W•••••• • R••• formerOct 9, 2001 to Oct 7, 2003 · Wichita, Ks
- N•••••• F•••••••• G••••• I••• to V•••• F•••••••• A•••••••• I•••left Dec 8, 2005, registered Feb 21, 2007 (440 days) · Other
- W•••••• • R••• to N•••••• F•••••••• G••••• I•••left Oct 7, 2003, registered May 20, 2004 (226 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