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.
S••••• S•••• A••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Omaha, Ne
- W••••••• F•••••••• S•••••••• I••• formerAug 3, 2021 to Jun 2, 2022 · Omaha, Ne
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 5, 2007 to Jun 11, 2007 · Denver, Co
- W••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 2, 2022, registered Mar 21, 2024 (658 days) · Affiliated broker-dealer or bank to another
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to W••••••• F•••••••• S•••••••• I•••left Jun 11, 2007, registered Aug 3, 2021 (5167 days) · Other
- S••••• S•••• A•••••••• left W••••••• F•••••••• S•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)Jun 2, 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