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.
K••••• A••• M••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Mar 30, 2020 · Lees Summit, Mo
- W•••••• • R••• formerJan 4, 2011 to Apr 2, 2020 · Shawnee, Ks
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 11, 2005 to Feb 21, 2008 · Kansas City, Mo
- M••••• S•••••• D• I••• unclassifiedJul 15, 2003 to Aug 15, 2005 · Kansas City, Mo
- W•••••• • R••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 2, 2020, registered Mar 30, 2020 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• • R•••left Feb 21, 2008, registered Jan 4, 2011 (1048 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 15, 2005, registered Aug 11, 2005 (-4 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