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.
S•••• D••••• S••••••••
- G••••••• A•••••••• L•• independent RIA currentsince Dec 19, 2023 · Arden Hills, Mn
- P•••••• F•••••••• P•••••••• L•• unclassifiedJan 31, 2019 to Jul 6, 2022 · Kansas City, Mo
- O•••• W•••••• I••• BD affiliatedApr 13, 2018 to Sep 21, 2023 · Kansas City, Mo
- C••••••• P••••••• independent RIASep 26, 2016 to Mar 6, 2018 · Overland Park, Ks
- I••••• F•••••••• C••••••••• formerAug 11, 2014 to Aug 19, 2016 · Higginsville, Mo
- C••••• A••••••• L•• formerNov 25, 2013 to Jun 2, 2014 · Greenwood Village, Co
- S••••••• F•••••••• S•••••••• I••• formerOct 9, 2013 to Nov 1, 2013 · Overland Park, Ks
- O•••• W•••••• I••• to P•••••• F•••••••• P•••••••• L••left Sep 21, 2023, registered Jan 31, 2019 (-1694 days) · Other
- P•••••• F•••••••• P•••••••• L•• to G••••••• A•••••••• L••left Jul 6, 2022, registered Dec 19, 2023 (531 days) · Other
- C••••••• P••••••• to O•••• W•••••• I•••left Mar 6, 2018, registered Apr 13, 2018 (38 days) · Other
- I••••• F•••••••• C••••••••• to C••••••• P•••••••left Aug 19, 2016, registered Sep 26, 2016 (38 days) · Other
- C••••• A••••••• L•• to I••••• F•••••••• C•••••••••left Jun 2, 2014, registered Aug 11, 2014 (70 days) · Other
- S••••••• F•••••••• S•••••••• I••• to C••••• A••••••• L••left Nov 1, 2013, registered Nov 25, 2013 (24 days) · Other
- S•••• D••••• S•••••••• left O•••• W•••••• I••• for P•••••• F•••••••• P•••••••• L•• (registered 2019-01-31)Sep 21, 2023 · Advisor changed firm · fact
- S•••• D••••• S•••••••• left P•••••• F•••••••• P•••••••• L•• for G••••••• A•••••••• L•• (registered 2023-12-19)Jul 6, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address