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.
- M•••••• BD affiliated currentsince Dec 17, 2015 · Overland Park, Ks
- M•••••• I••••••••• L•• formerNov 4, 2014 to Dec 31, 2015 · Leawood, Ks
- V•• A••••••• S••••••• formerMar 1, 2010 to Oct 27, 2014 · Overland Park, Ks
- W•••••• • R••• formerNov 24, 2009 to Dec 18, 2009 · Edmond, Ok
- M•••••• I••••••••• L•• to M••••••left Dec 31, 2015, registered Dec 17, 2015 (-14 days) · Other · moved with a team
- V•• A••••••• S••••••• to M•••••• I••••••••• L••left Oct 27, 2014, registered Nov 4, 2014 (8 days) · Other
- W•••••• • R••• to V•• A••••••• S•••••••left Dec 18, 2009, registered Mar 1, 2010 (73 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address