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.
R••• S••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Oct 20, 2023 · Shawnee, Ks
- C••••• F•••••••• independent RIAFeb 17, 2017 to Sep 3, 2019 · Lee'S Summit, Mo
- V••• F•••••••• A•••••••• I••• BD affiliatedAug 17, 2011 to Feb 16, 2012 · Overland Park, Ks
- C••••• F•••••••• to A••••••• F•••••••• A•••••••• L••left Sep 3, 2019, registered Oct 20, 2023 (1508 days) · RIA to affiliated broker-dealer or bank
- V••• F•••••••• A•••••••• I••• to C••••• F••••••••left Feb 16, 2012, registered Feb 17, 2017 (1828 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address