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.
J•••• F•••••• M••••••
- E••••• J•••• national BD currentsince Aug 1, 2019 · Kansas City, Mo
- U•• F•••••••• S•••••••• I••• independent RIAAug 27, 2018 to Jul 24, 2019 · Kansas City, Mo
- C••••• A••••••• L•• formerAug 27, 2012 to Aug 30, 2016 · Overland Park, Ks
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 25, 2004 to Sep 6, 2012 · Overland Park, Ks
- U•• F•••••••• S•••••••• I••• to E••••• J••••left Jul 24, 2019, registered Aug 1, 2019 (8 days) · Affiliated broker-dealer or bank to another
- C••••• A••••••• L•• to U•• F•••••••• S•••••••• I•••left Aug 30, 2016, registered Aug 27, 2018 (727 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••••• A••••••• L••left Sep 6, 2012, registered Aug 27, 2012 (-10 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address