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.
R••••• L• C•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 5, 2019 · Elkhorn, Ne
- W•••••• I••••••••• S••••••••• formerOct 10, 2017 to Jun 24, 2019 · Crystal Bay, Nv
- F•••••••• W••• G•••• formerAug 13, 2013 to Aug 21, 2017 · Omaha, Ne
- W•••••• I••••••••• S••••••••• to C••••••••• F•••••••• N••••••left Jun 24, 2019, registered Jul 5, 2019 (11 days) · RIA to affiliated broker-dealer or bank · moved with a team
- F•••••••• W••• G•••• to W•••••• I••••••••• S•••••••••left Aug 21, 2017, registered Oct 10, 2017 (50 days) · corporate re-registration, not a move
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address