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••••• R•• S••••••
- C••• L•• BD affiliated currentsince Jan 3, 2022 · Omaha, Ne
- G•• W••••• S••••••••• G••••• L•• formerJan 3, 2017 to Jan 3, 2022 · Centennial, Co
- L•• F•••••••• L•• BD affiliatedSep 24, 2010 to Apr 25, 2017 · Centennial, Co
- E••••• J•••• national BDDec 15, 2006 to Sep 28, 2010 · St Louis, Mo
- G•• W••••• S••••••••• G••••• L•• to C••• L••left Jan 3, 2022, registered Jan 3, 2022 (0 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to G•• W••••• S••••••••• G••••• L••left Apr 25, 2017, registered Jan 3, 2017 (-112 days) · Other · moved with a team
- E••••• J•••• to L•• F•••••••• L••left Sep 28, 2010, registered Sep 24, 2010 (-4 days) · Other
- T••••• R•• S•••••• left G•• W••••• S••••••••• G••••• L•• for C••• L•• (registered 2022-01-03)Jan 3, 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address