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.
H••••• M•••• Q••••••
- C•••••• S••••• • C••• I••• national BD currentsince Sep 2, 2016 · San Mateo, Ca
- T• A••••••••• I••• formerMar 7, 2022 to Oct 14, 2022 · Omaha, Ne
- A••••••• C•••••• A••••••• S•••••••• I••• formerDec 13, 2010 to Dec 31, 2012 · Kansas City, Mo
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- A••••••• C•••••• A••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Dec 31, 2012, registered Sep 2, 2016 (1341 days) · Other
- H••••• M•••• Q•••••• no longer registered at T• A••••••••• I•••; no later IA registration on IAPDOct 14, 2022 · Advisor departure · 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address