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.
W••••• W•••••• P•••••••
- C••••• P••••••• R••••••••• P••• C••••••••• institutional currentsince Jul 11, 2022 · Norfolk, Va
- C••••• P••••••• L•• independent RIA currentsince Jun 17, 2022 · Richmond, Va
- P•••••••• R••••••••• I••••••••• A••••••• formerOct 8, 2015 to Sep 2, 2022 · Norfolk, Va
- W•••••• • R••• formerDec 17, 2013 to Oct 5, 2015 · Overland Park, Ks
- W•••• F•••• A••••••• wirehouseSep 21, 2011 to Dec 3, 2013 · Omaha, Ne
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 22, 2011 · Kansas City, Mo
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 26, 2009 to Jun 1, 2009 · Kansas City, Mo
- P•••••••• R••••••••• I••••••••• A••••••• to C••••• P••••••• L••left Sep 2, 2022, registered Jun 17, 2022 (-77 days) · RIA to RIA · moved with a team
- W•••••• • R••• to P•••••••• R••••••••• I••••••••• A•••••••left Oct 5, 2015, registered Oct 8, 2015 (3 days) · Other
- W•••• F•••• A••••••• to W•••••• • R•••left Dec 3, 2013, registered Dec 17, 2013 (14 days) · Other
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 22, 2011, registered Sep 21, 2011 (-1 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W••••• W•••••• P••••••• left P•••••••• R••••••••• I••••••••• A••••••• for C••••• P••••••• L•• (registered 2022-06-17)Sep 2, 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address