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.
N••••••• R•••••• O••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 1, 2019 · Wichita, Ks
- F•••••••• B•••••••• I•• state registered currentsince Jul 13, 2018 · Wichita, Ks
- M•• F•••••••• S•••••••• I••• formerJan 19, 2012 to Mar 3, 2017 · Shelton, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDAug 10, 2004 to Jan 10, 2005 · Denver, Co
- M•• F•••••••• S•••••••• I••• to F•••••••• B•••••••• I••left Mar 3, 2017, registered Jul 13, 2018 (497 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jan 10, 2005, registered Jan 19, 2012 (2565 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address