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••• A••••• K••••
- E••••• J•••• national BD currentsince Jun 21, 2013 · Kansas City, Mo
- N••••••• P•••••• • G•••• C••••••••• I•• unclassifiedMay 27, 2008 to Jun 7, 2013 · Kansas City, Mo
- R••••••••• I••••• A•••••••• L•• unclassifiedFeb 22, 2008 to May 5, 2008 · St. Peters, Mo
- O•••• P•••••••• S••••••••• L•• formerFeb 16, 2007 to May 27, 2008 · Kansas City, Mo
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 16, 2004 to Jan 23, 2007 · Overland Park, Ks
- M••••• S•••••• D• I••• unclassifiedFeb 18, 2003 to May 20, 2004 · Kansas City, Mo
- N••••••• P•••••• • G•••• C••••••••• I•• to E••••• J••••left Jun 7, 2013, registered Jun 21, 2013 (14 days) · Other
- O•••• P•••••••• S••••••••• L•• to R••••••••• I••••• A•••••••• L••left May 27, 2008, registered Feb 22, 2008 (-95 days) · Other
- R••••••••• I••••• A•••••••• L•• to N••••••• P•••••• • G•••• C••••••••• I••left May 5, 2008, registered May 27, 2008 (22 days) · Other
- V•••• F•••••••• A•••••••• I••• to O•••• P•••••••• S••••••••• L••left Jan 23, 2007, registered Feb 16, 2007 (24 days) · Other
- M••••• S•••••• D• I••• to V•••• F•••••••• A•••••••• I•••left May 20, 2004, registered Sep 16, 2004 (119 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address