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•••• M••••••••
- C••••••••• A••••••• G•••• state registered currentsince Nov 6, 2020 · Omaha, Ne
- C•••••••• F•••••••• unclassifiedDec 19, 2019 to Jan 19, 2021 · Omaha, Ne
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Dec 19, 2019 · Omaha, Ne
- S••••••• I••••••••• I••• formerMay 13, 2016 to Nov 2, 2018 · Omaha, Ne
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedNov 21, 2012 to May 13, 2016 · Omaha, Ne
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 28, 2005 to Nov 20, 2012 · Omaha, Ne
- M••• S••••• A•••••••• L•• formerMar 5, 2004 to Sep 21, 2005 · Omaha, Ne
- N••• F•••••••• G••••• I••• formerMar 7, 2003 to Aug 14, 2003 · Omaha, Ne
- M••••• S•••••• D• I••• unclassifiedJul 18, 2002 to Feb 20, 2003 · Omaha, Ne
- C•••••••• F•••••••• to C••••••••• A••••••• G••••left Jan 19, 2021, registered Nov 6, 2020 (-74 days) · Other · moved with a team
- O•••• W•••••• I••• to C•••••••• F••••••••left Dec 19, 2019, registered Dec 19, 2019 (0 days) · Other
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Nov 20, 2012, registered Nov 21, 2012 (1 days) · Other
- M••• S••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Sep 21, 2005, registered Oct 28, 2005 (37 days) · Other
- N••• F•••••••• G••••• I••• to M••• S••••• A•••••••• L••left Aug 14, 2003, registered Mar 5, 2004 (204 days) · Other
- M••••• S•••••• D• I••• to N••• F•••••••• G••••• I•••left Feb 20, 2003, registered Mar 7, 2003 (15 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