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.
- C••• L•• BD affiliated currentsince Aug 3, 2020 · Omaha, Ne
- O•••• P•••••••• S••••••••• L•• BD affiliatedApr 1, 2015 to Nov 18, 2019 · Omaha, Ne
- S••••••••• A•••••• A•••••••• I••• formerNov 7, 2008 to Mar 6, 2015 · La Vista, Ne
- M••••• S•••••• • C•• L•• unclassifiedSep 7, 2007 to Sep 3, 2008 · Erie, Pa
- O•••• P•••••••• S••••••••• L•• to C••• L••left Nov 18, 2019, registered Aug 3, 2020 (259 days) · RIA to affiliated broker-dealer or bank
- S••••••••• A•••••• A•••••••• I••• to O•••• P•••••••• S••••••••• L••left Mar 6, 2015, registered Apr 1, 2015 (26 days) · Other
- M••••• S•••••• • C•• L•• to S••••••••• A•••••• A•••••••• I•••left Sep 3, 2008, registered Nov 7, 2008 (65 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