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.
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- O•••• P•••••••• S••••••••• L•• BD affiliated currentsince Jan 24, 2023 · Omaha, Ne
- O•••• P•••••••• S••••••••• L•• formerMay 28, 2021 to Jan 6, 2023 · Hebron, Ky
- P••••••••• F•••••••• S••••••• unclassifiedApr 20, 2017 to Jan 10, 2020 · San Francisco, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Apr 3, 2017 · Louisville, Ky
- M•• F•••••••• S•••••••• I••• formerOct 24, 2016 to Mar 25, 2017 · Louisville, Ky
- O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••left Jan 6, 2023, registered Jan 24, 2023 (18 days) · corporate re-registration, not a move
- P••••••••• F•••••••• S••••••• to O•••• P•••••••• S••••••••• L••left Jan 10, 2020, registered May 28, 2021 (504 days) · Other
- M•• I•••••••• S•••••••• L•• to P••••••••• F•••••••• S•••••••left Apr 3, 2017, registered Apr 20, 2017 (17 days) · Other
- 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
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address