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•••• A•••••••• W••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Dec 12, 2014 · Wichita, Ks
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAMay 13, 2010 to Dec 12, 2014 · Witchita, Ks
- P•••• S••••••••• L•• no RAUMMar 15, 2007 to May 14, 2010 · Wichita, Ks
- V•••••• S••••••••• I••• unclassifiedFeb 8, 2006 to Feb 22, 2006 · Wichita, Ks
- T•••••• F•••••••• S•••••••• I•• unclassifiedJan 2, 2003 to Nov 10, 2004 · Wichita, Ks
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 12, 2014, registered Dec 12, 2014 (0 days) · Other
- P•••• S••••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left May 14, 2010, registered May 13, 2010 (-1 days) · Other
- V•••••• S••••••••• I••• to P•••• S••••••••• L••left Feb 22, 2006, registered Mar 15, 2007 (386 days) · Other
- T•••••• F•••••••• S•••••••• I•• to V•••••• S••••••••• I•••left Nov 10, 2004, registered Feb 8, 2006 (455 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