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.
R•••••• C•••••• E•••
- C••••••••• W•••••• L•• independent RIA currentsince Jul 20, 2018 · Overland Park, Ks
- C••• I••••••••• A•••••••• L•• unclassifiedAug 13, 2010 to Aug 22, 2018 · La Verne, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedDec 17, 2007 to Jan 6, 2010 · Gold River, Ca
- C••• I••••••••• A•••••••• L•• to C••••••••• W•••••• L••left Aug 22, 2018, registered Jul 20, 2018 (-33 days) · Other · moved with a team
- T••••••••• F•••••••• A•••••••• L•• to C••• I••••••••• A•••••••• L••left Jan 6, 2010, registered Aug 13, 2010 (219 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address