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.
A••••• M•••• S••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 11, 2023 · Leawood, Ks
- C••••••• P••••••• independent RIAFeb 9, 2022 to Sep 18, 2023 · Overland Park, Ks
- W•••• F•••• A••••••• wirehouseAug 5, 2015 to Jan 26, 2022 · Overland Park, Ks
- C••••••• P••••••• to R•••••• J•••• • A••••••••• I•••left Sep 18, 2023, registered Oct 11, 2023 (23 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to C••••••• P•••••••left Jan 26, 2022, registered Feb 9, 2022 (14 days) · Wirehouse to independent RIA
- A••••• M•••• S•••••• left C••••••• P••••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-10-11)Sep 18, 2023 · Advisor changed firm · fact
- A••••• M•••• S•••••• left W•••• F•••• A••••••• for C••••••• P••••••• (registered 2022-02-09)Jan 26, 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address