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.
R••• S•••• R•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Apr 18, 2024 · Columbus, Ne
- S••••••••• A•••••• A•••••••• I••• formerMar 12, 2018 to Apr 18, 2024 · David City, Ne
- Q•••••• A•••• M••••••••• I••• formerMar 31, 2015 to Mar 9, 2018 · Davis City, Ne
- G••••• S••••••••• I••• formerFeb 17, 2012 to Mar 13, 2015 · Lincoln, Ne
- S•••••••• L••••• A•••••••• I••• unclassifiedJul 17, 2009 to Sep 17, 2010 · Lincoln, Ne
- S••••••• F•••••••• S•••••••• I••• formerFeb 8, 2008 to Jun 4, 2009 · Omaha, Ne
- S••••••••• A•••••• A•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 18, 2024, registered Apr 18, 2024 (0 days) · Affiliated broker-dealer or bank to another
- Q•••••• A•••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Mar 9, 2018, registered Mar 12, 2018 (3 days) · Other
- G••••• S••••••••• I••• to Q•••••• A•••• M••••••••• I•••left Mar 13, 2015, registered Mar 31, 2015 (18 days) · Other · moved with a team
- S•••••••• L••••• A•••••••• I••• to G••••• S••••••••• I•••left Sep 17, 2010, registered Feb 17, 2012 (518 days) · Other
- S••••••• F•••••••• S•••••••• I••• to S•••••••• L••••• A•••••••• I•••left Jun 4, 2009, registered Jul 17, 2009 (43 days) · Other
- R••• S•••• R••• left S••••••••• A•••••• A•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-04-18)Apr 18, 2024 · 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