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.
T••• N•••••••• T••••
- E••••• J•••• national BD currentsince Mar 14, 2023 · Overland Park, Ks
- E•••••• A••••••• G••••• L•• BD affiliatedMay 27, 2021 to Oct 4, 2021 · Greenwood Village, Co
- W•••••• • R••• formerDec 19, 2011 to Apr 21, 2021 · Overland Park, Ks
- E••••• J•••• national BDAug 14, 2007 to Dec 14, 2011 · Olathe, Ks
- E•••••• A••••••• G••••• L•• to E••••• J••••left Oct 4, 2021, registered Mar 14, 2023 (526 days) · Other
- W•••••• • R••• to E•••••• A••••••• G••••• L••left Apr 21, 2021, registered May 27, 2021 (36 days) · Other
- E••••• J•••• to W•••••• • R•••left Dec 14, 2011, registered Dec 19, 2011 (5 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address