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.
E•••••••• H•••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Mar 29, 2022 · Prairie Village, Ks
- E••••• J•••• national BDOct 21, 2019 to Mar 21, 2022 · Kansas City, Mo
- U•• F•••••••• S•••••••• I••• independent RIAAug 23, 2013 to Oct 22, 2019 · Kansas City, Mo
- U•• F•••••••• S•••••••• I••• independent RIADec 22, 2009 to Jan 18, 2013 · Kansas City, Mo
- E••••• J•••• to K••••• A••••••• S•••••••• L••left Mar 21, 2022, registered Mar 29, 2022 (8 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S•••••••• I••• to E••••• J••••left Oct 22, 2019, registered Oct 21, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- E•••••••• H••••• left E••••• J•••• for K••••• A••••••• S•••••••• L•• (registered 2022-03-29)Mar 21, 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