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••• C••••••••• O•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 19, 2021 · Omaha, Ne
- C••••• A•••••• N••••••• L•• formerNov 7, 2019 to Jan 11, 2021 · Omaha, Ne
- C••• L•• BD affiliatedDec 14, 2018 to Oct 31, 2019 · Omaha, Ne
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 18, 2015 to Aug 21, 2018 · Omaha, Ne
- F•••• N••••••• C•••••• M••••••• I••• formerJan 2, 2014 to Jun 18, 2015 · Omaha, Ne
- C••••• A•••••• N••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 11, 2021, registered Jan 19, 2021 (8 days) · Affiliated broker-dealer or bank to another
- C••• L•• to C••••• A•••••• N••••••• L••left Oct 31, 2019, registered Nov 7, 2019 (7 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••• L••left Aug 21, 2018, registered Dec 14, 2018 (115 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• N••••••• C•••••• M••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 18, 2015, registered Jun 18, 2015 (0 days) · Other · moved with a team
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