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.
D•• B••••• H•••
- L•• F•••••••• L•• BD affiliated currentsince Nov 28, 2022 · St Joseph, Mo
- U••• B•••••• I••••••••• I••• formerFeb 23, 2012 to Nov 30, 2022 · Lawrence, Ks
- E••••• J•••• national BDOct 11, 2007 to Feb 22, 2012 · Lawrence, Ks
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Nov 30, 2022, registered Nov 28, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Feb 22, 2012, registered Feb 23, 2012 (1 days) · Other
- D•• B••••• H••• left U••• B•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2022-11-28)Nov 30, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address