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.
W•••••• D••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 3, 2022 · Lincoln, Ne
- W••••••••• P••••••• independent RIAJan 15, 2020 to Sep 30, 2022 · Lincoln, Ne
- W••••••••• P••••••• formerNov 9, 2016 to Jul 10, 2020 · Lincoln, Ne
- V•• A••••••• S••••••• formerSep 8, 2016 to Nov 2, 2016 · Overland Park, Ks
- S••••• F•••••••• G•••• I•• formerSep 1, 2016 to Nov 4, 2016 · Lincoln, Ne
- V•• A••••••• S••••••• formerMar 5, 2004 to Sep 1, 2016 · Lincoln, Ne
- W••••••••• P••••••• to L•• F•••••••• L••left Sep 30, 2022, registered Oct 3, 2022 (3 days) · RIA to RIA · moved with a team
- W••••••••• P••••••• to W••••••••• P•••••••left Jul 10, 2020, registered Jan 15, 2020 (-177 days) · corporate re-registration, not a move
- S••••• F•••••••• G•••• I•• to V•• A••••••• S•••••••left Nov 4, 2016, registered Sep 8, 2016 (-57 days) · channel change inside one enterprise, not a move
- V•• A••••••• S••••••• to W••••••••• P•••••••left Nov 2, 2016, registered Nov 9, 2016 (7 days) · Other · moved with a team
- V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••left Sep 1, 2016, registered Sep 1, 2016 (0 days) · corporate re-registration, not a move
- W•••••• D••• M•••• left W••••••••• P••••••• for L•• F•••••••• L•• (registered 2022-10-03)Sep 30, 2022 · Advisor changed firm · fact
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address