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.
J•••• R•••••• C•••• C•••••••
- I•• W••••• M••••••••• L•• BD affiliated currentsince Nov 9, 2017 · Chicago, Il
- N•••••• W••••• G••••• L•• formerAug 4, 2014 to Dec 31, 2017 · Overland Park, Ks
- I••••••••• F•••••••• P••••••• BD affiliatedSep 27, 2013 to Oct 17, 2014 · Overland Park, Ks
- A••••••••• F•••••••• S•••••••• L•• national BDMar 20, 2007 to Sep 26, 2013 · Leawood, Ks
- N•••••• W••••• G••••• L•• to I•• W••••• M••••••••• L••left Dec 31, 2017, registered Nov 9, 2017 (-52 days) · Other · moved with a team
- I••••••••• F•••••••• P••••••• to N•••••• W••••• G••••• L••left Oct 17, 2014, registered Aug 4, 2014 (-74 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to I••••••••• F•••••••• P•••••••left Sep 26, 2013, registered Sep 27, 2013 (1 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
- 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