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••• W• C•••••••
- R•• W••••• S••••••••• L•• state registered currentsince Oct 27, 2021 · Overland Park, Ks
- I•••••• F•••••••• S••••••• independent RIAJun 3, 2019 to Oct 28, 2021 · Overland Park, Ks
- A••••••• A••••••• S••••••• formerJan 9, 2013 to Jun 18, 2019 · Overland Park, Ks
- N•• E•••••• S••••••••• C••••••••• formerJul 14, 2009 to Jan 7, 2013 · Overland Park, Ks
- I•••••• F•••••••• S••••••• to R•• W••••• S••••••••• L••left Oct 28, 2021, registered Oct 27, 2021 (-1 days) · RIA to a state-registered adviser · moved with a team
- A••••••• A••••••• S••••••• to I•••••• F•••••••• S•••••••left Jun 18, 2019, registered Jun 3, 2019 (-15 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N•• E•••••• S••••••••• C••••••••• to A••••••• A••••••• S•••••••left Jan 7, 2013, registered Jan 9, 2013 (2 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address