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.
M••••• P• J••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Kansas City, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDDec 13, 2013 to Jul 13, 2018 · Overland Park, Ks
- P•••••• C•••••• M••••••••• L•• formerAug 6, 2010 to Apr 27, 2012 · Kansas City, Mo
- P•••••• C•••••• M••••••••• L•• unclassifiedJan 2, 2008 to Aug 2, 2010 · Kansas City, Mo
- P•••••• C•••••• M••••••••• I•• unclassifiedJan 24, 2007 to Dec 31, 2007 · Kansas City, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- P•••••• C•••••• M••••••••• L•• to S•••••••• A••••••• L••left Apr 27, 2012, registered Dec 13, 2013 (595 days) · Other
- P•••••• C•••••• M••••••••• L•• to P•••••• C•••••• M••••••••• L••left Aug 2, 2010, registered Aug 6, 2010 (4 days) · Other
- P•••••• C•••••• M••••••••• I•• to P•••••• C•••••• M••••••••• L••left Dec 31, 2007, registered Jan 2, 2008 (2 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address