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.
D••••• B•••• G••••••
- S•• BD affiliated currentsince Mar 19, 2012 · Ann Arbor, Mi
- P•••••••• S••••••••• I••• BD affiliatedJun 20, 2008 to Mar 16, 2012 · York, Ne
- S•• BD affiliatedMay 3, 2007 to May 7, 2008 · Omaha, Ne
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 9, 2005 to Jul 20, 2005 · Omaha, Ne
- P•••••••• S••••••••• I••• to S••left Mar 16, 2012, registered Mar 19, 2012 (3 days) · Other
- S•• to P•••••••• S••••••••• I•••left May 7, 2008, registered Jun 20, 2008 (44 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••left Jul 20, 2005, registered May 3, 2007 (652 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address