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.
A•••••• M• D••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 25, 2021 · Lawrence, Ks
- E•••••• A••••••• G••••• L•• BD affiliatedFeb 5, 2021 to Oct 11, 2021 · Overland Park, Ks
- B••••••• I••••••••• S•••••••• I••• ••••• formerMay 16, 2018 to Dec 31, 2020 · Overland Park, Ks
- S•••••••• I••••••••• M••••••••• formerJan 19, 2017 to Mar 8, 2018 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 19, 2010 to Feb 25, 2015 · Fort Worth, Tx
- T• A••••••••• I••• formerJul 19, 2010 to Feb 25, 2015 · Omaha, Ne
- E•••••• A••••••• G••••• L•• to J••• M••••• S••••••••• L••left Oct 11, 2021, registered Oct 25, 2021 (14 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to E•••••• A••••••• G••••• L••left Dec 31, 2020, registered Feb 5, 2021 (36 days) · Other
- S•••••••• I••••••••• M••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Mar 8, 2018, registered May 16, 2018 (69 days) · Affiliated broker-dealer or bank to another · moved with a team
- T• A••••••••• I••• to S•••••••• I••••••••• M•••••••••left Feb 25, 2015, registered Jan 19, 2017 (694 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 25, 2015, registered Jul 19, 2010 (-1682 days) · channel change inside one enterprise, 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address