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.
M•••••• W••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Lees Summit, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 19, 2022 to Mar 31, 2025 · Lees Summit, Mo
- P••••••••• S••••••••• C••••••••• independent RIAAug 24, 2021 to May 25, 2022 · Carpinteria, Ca
- W•••••• • R••• formerNov 23, 2020 to Jan 27, 2021 · Overland Park, Ks
- B•• H••••• F•••••••• A•••••••• I•• formerMay 22, 2018 to Apr 11, 2019 · Leawood, Ks
- S•••••••• I••••••••• M••••••••• formerJan 24, 2017 to May 5, 2017 · Saint Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 6, 2015 to Jul 29, 2015 · Independence, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P••••••••• S••••••••• C••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 25, 2022, registered Oct 19, 2022 (147 days) · RIA to affiliated broker-dealer or bank
- W•••••• • R••• to P••••••••• S••••••••• C•••••••••left Jan 27, 2021, registered Aug 24, 2021 (209 days) · Affiliated broker-dealer or bank to independent RIA
- B•• H••••• F•••••••• A•••••••• I•• to W•••••• • R•••left Apr 11, 2019, registered Nov 23, 2020 (592 days) · Affiliated broker-dealer or bank to another
- S•••••••• I••••••••• M••••••••• to B•• H••••• F•••••••• A•••••••• I••left May 5, 2017, registered May 22, 2018 (382 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• I••••••••• M•••••••••left Jul 29, 2015, registered Jan 24, 2017 (545 days) · Other
- M•••••• W•••• left P••••••••• S••••••••• C••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-10-19)May 25, 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address