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.
B•••• W•••••• H••••••
- C••••••••• W•••••• L•• independent RIA currentsince Sep 24, 2018 · Overland Park, Ks
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Sep 27, 2018 · Overland Park, Ks
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · Overland Park, Ks
- N•• E•••••• S••••••••• C••••••••• formerFeb 11, 2010 to Jan 2, 2015 · Overland Park, Ks
- A••••••••• F•••••••• S•••••••• L•• national BDJun 18, 2004 to Feb 4, 2010 · Leawood, Ks
- M•• I•••••••• S•••••••• L•• to C••••••••• W•••••• L••left Sep 27, 2018, registered Sep 24, 2018 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Feb 4, 2010, registered Feb 11, 2010 (7 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address