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.
C•••••• L•••• P•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 17, 2023 · Tulsa, Ok
- G••••••• W••••• M••••••••• BD affiliatedJul 13, 2016 to Aug 17, 2023 · Arden Hills, Mn
- V•• A••••••• S••••••• formerAug 30, 2010 to Jul 13, 2016 · Overland Park, Ks
- N••• F•••••••• G••••• I••• formerSep 18, 2008 to Sep 27, 2010 · Tulsa, Ok
- G••••••• W••••• M••••••••• to L•• F•••••••• L••left Aug 17, 2023, registered Aug 17, 2023 (0 days) · Affiliated broker-dealer or bank to another
- V•• A••••••• S••••••• to G••••••• W••••• M•••••••••left Jul 13, 2016, registered Jul 13, 2016 (0 days) · Other
- N••• F•••••••• G••••• I••• to V•• A••••••• S•••••••left Sep 27, 2010, registered Aug 30, 2010 (-28 days) · Other
- C•••••• L•••• P••••• left G••••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2023-08-17)Aug 17, 2023 · 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