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.
N••••••• J••• S••••••••
- F•••• N•••• W••••• independent RIA currentsince Nov 15, 2021 · Aurora, Co
- P•••• S••••••••• L•• no RAUMNov 12, 2020 to Nov 15, 2021 · Omaha, Ne
- A••••• A•• P••••••• S••••••• BD affiliatedDec 6, 2016 to Nov 13, 2020 · Omaha, Ne
- P••••••••• T••••• I••••••••• A•••••••• L•• unclassifiedApr 22, 2015 to Nov 30, 2016 · Elkhorn, Ne
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 16, 2014 to Mar 10, 2015 · Omaha, Ne
- P•••• S••••••••• L•• to F•••• N•••• W•••••left Nov 15, 2021, registered Nov 15, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA
- A••••• A•• P••••••• S••••••• to P•••• S••••••••• L••left Nov 13, 2020, registered Nov 12, 2020 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- P••••••••• T••••• I••••••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Nov 30, 2016, registered Dec 6, 2016 (6 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to P••••••••• T••••• I••••••••• A•••••••• L••left Mar 10, 2015, registered Apr 22, 2015 (43 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address