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.
A••••• J••• W•••••
- C••••••••• A••••••• G•••• state registered currentsince Nov 6, 2020 · Omaha, Ne
- C•••••••• F•••••••• unclassifiedMay 31, 2019 to Jan 19, 2021 · Omaha, Ne
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 9, 2007 to Feb 27, 2009 · Omaha, Ne
- A••••••••• F•••••••• S•••••••• L•• national BDMar 13, 2006 to Jul 13, 2007 · Minneapolis, Mn
- P•••• S••••••••• L•• no RAUMSep 11, 2002 to May 20, 2004 · Lincoln, Ne
- C•••••••• F•••••••• to C••••••••• A••••••• G••••left Jan 19, 2021, registered Nov 6, 2020 (-74 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to C•••••••• F••••••••left Feb 27, 2009, registered May 31, 2019 (3745 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Jul 13, 2007, registered Aug 9, 2007 (27 days) · Other
- P•••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 20, 2004, registered Mar 13, 2006 (662 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address