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.
D••••••• D••• L••••
- Y••• F•••••••• P••••••••• state registered currentsince May 15, 2018 · Lees Summit, Mo
- O•• A••••••• P•••••••• L•• independent RIAOct 3, 2022 to Mar 25, 2023 · Overland Park, Ks
- W•••••• • R••• formerAug 3, 2006 to Apr 17, 2018 · Overland Park, Ks
- C• F•••••••• A••••••• unclassifiedSep 23, 2005 to Jul 10, 2006 · Provo, Ut
- O•• A••••••• P•••••••• L•• to no registered destinationleft Mar 25, 2023 · Departure, no registered destination
- W•••••• • R••• to Y••• F•••••••• P•••••••••left Apr 17, 2018, registered May 15, 2018 (28 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C• F•••••••• A••••••• to W•••••• • R•••left Jul 10, 2006, registered Aug 3, 2006 (24 days) · Other
- D••••••• D••• L•••• no longer registered at O•• A••••••• P•••••••• L••; no later IA registration on IAPDMar 25, 2023 · Advisor departure · 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address