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.
S•••••••• C• H•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 30, 2014 · Omaha, Ne
- W•••• F•••• A••••••• wirehouseApr 30, 2012 to Feb 3, 2014 · Omaha, Ne
- F•••• N••••••• C•••••• M••••••• I••• formerJun 1, 2010 to Apr 9, 2012 · Omaha, Ne
- C••••• I••••••••• S••••••• L•• formerOct 23, 2009 to Jun 2, 2010 · Glenwood, Ia
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Feb 3, 2014, registered Jan 30, 2014 (-4 days) · Wirehouse to wirehouse
- F•••• N••••••• C•••••• M••••••• I••• to W•••• F•••• A•••••••left Apr 9, 2012, registered Apr 30, 2012 (21 days) · Other
- C••••• I••••••••• S••••••• L•• to F•••• N••••••• C•••••• M••••••• I•••left Jun 2, 2010, registered Jun 1, 2010 (-1 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address