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.
T••••• S•••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 12, 2020 · Lexington, Ne
- S••••••••• A•••••• A•••••••• I••• formerJan 25, 2016 to Feb 11, 2020 · Lexington, Ne
- L•• F•••••••• L•• BD affiliatedFeb 26, 2010 to Dec 31, 2015 · Lexington, Ne
- A••••••• A••••••• S••••••• formerJun 30, 2006 to Feb 23, 2010 · Holdredge, Ne
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Feb 11, 2020, registered Feb 12, 2020 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Dec 31, 2015, registered Jan 25, 2016 (25 days) · Other
- A••••••• A••••••• S••••••• to L•• F•••••••• L••left Feb 23, 2010, registered Feb 26, 2010 (3 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