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.
C••• A•••• B•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 19, 2024 · Chanute, Ks
- E••••• J•••• national BDJun 29, 2012 to Apr 22, 2024 · Chanute, Ks
- A••••••••• F•••••••• S•••••••• L•• national BDDec 16, 2005 to Jul 3, 2012 · Erie, Ks
- O••••••••• institutionalJul 28, 2004 to Nov 11, 2005 · Kansas City, Mo
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Apr 22, 2024, registered Apr 19, 2024 (-3 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to E••••• J••••left Jul 3, 2012, registered Jun 29, 2012 (-4 days) · Affiliated broker-dealer or bank to another
- O••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 11, 2005, registered Dec 16, 2005 (35 days) · Other
- C••• A•••• B••• left E••••• J•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-04-19)Apr 22, 2024 · 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
- 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