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• A•• K•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 19, 2022 · Lincoln, Ne
- D••• D••••••• • C•• independent RIAJun 19, 2009 to Jan 12, 2022 · Lincoln, Ne
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jun 18, 2009 · Lincoln, Ne
- A• G• E•••••• • S•••• I••• unclassifiedOct 28, 2005 to Jan 1, 2008 · Lincoln, Ne
- D••• D••••••• • C•• to L•• F•••••••• L••left Jan 12, 2022, registered Jan 19, 2022 (7 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to D••• D••••••• • C••left Jun 18, 2009, registered Jun 19, 2009 (1 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- J• A•• K••••••• left D••• D••••••• • C•• for L•• F•••••••• L•• (registered 2022-01-19)Jan 12, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address