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.
J•••• V••••• R•••••
- C••••••••• S••••••••• L•• BD affiliated currentsince Jul 1, 2021 · Overland Park, Ks
- C••••• A•••••• N••••••• L•• formerMay 20, 2021 to Jul 2, 2021 · Topeka, Ks
- S••••• F•••••••• G•••• I•• formerSep 1, 2016 to May 20, 2021 · Topeka, Ks
- V•• A••••••• S••••••• formerFeb 7, 2003 to Sep 1, 2016 · Topeka, Ks
- T•• M••••••• I••• unclassifiedAug 13, 2002 to Feb 7, 2003 · Topeka, Ks
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 14, 2002 to Aug 15, 2002 · Topeka, Ks
- C••••• A•••••• N••••••• L•• to C••••••••• S••••••••• L••left Jul 2, 2021, registered Jul 1, 2021 (-1 days) · Affiliated broker-dealer or bank to another
- S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••left May 20, 2021, registered May 20, 2021 (0 days) · channel change inside one enterprise, not a move · moved with a team
- V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••left Sep 1, 2016, registered Sep 1, 2016 (0 days) · corporate re-registration, not a move
- T•• M••••••• I••• to V•• A••••••• S•••••••left Feb 7, 2003, registered Feb 7, 2003 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to T•• M••••••• I•••left Aug 15, 2002, registered Aug 13, 2002 (-2 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