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.
C•••••• D•••• C••
- V••• R••••••••• A•••••••• L•• other currentsince Oct 25, 2019 · Windsor, Ct
- V••• F•••••••• A•••••••• I••• BD affiliated currentsince Oct 2, 2019 · Omaha, Ne
- B••••••• I••••••••• S•••••••• I••• ••••• formerJul 27, 2015 to Sep 9, 2019 · Omaha, Ne
- T• A••••••••• I••• formerAug 8, 2011 to Jul 13, 2015 · Omaha, Ne
- S••••••••• A•••••• A•••••••• I••• formerSep 27, 2007 to Jul 26, 2011 · La Vista, Ne
- B••••••• I••••••••• S•••••••• I••• ••••• to V••• F•••••••• A•••••••• I•••left Sep 9, 2019, registered Oct 2, 2019 (23 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Jul 13, 2015, registered Jul 27, 2015 (14 days) · Other
- S••••••••• A•••••• A•••••••• I••• to T• A••••••••• I•••left Jul 26, 2011, registered Aug 8, 2011 (13 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address