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•••••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 21, 2018 · Kansas City, Mo
- W•••••• • R••• formerJan 16, 2015 to Aug 24, 2018 · Shawnee, Ks
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 15, 2012 to Jan 20, 2015 · Leawood, Ks
- M••••• S•••••• wirehouseApr 26, 2010 to Jan 13, 2012 · Leawood, Ks
- W•••••• • R••• to L•• F•••••••• L••left Aug 24, 2018, registered Aug 21, 2018 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• • R•••left Jan 20, 2015, registered Jan 16, 2015 (-4 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 13, 2012, registered Mar 15, 2012 (62 days) · Wirehouse to wirehouse
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