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••• C•••••• V•• M•••••
- F••••• I••••••••• independent RIA currentsince Nov 20, 2020 · Plano, Tx
- P••••••• C•••••• A••••••• C••••••••• formerApr 10, 2017 to Nov 17, 2020 · Denver, Co
- R•••••• J•••• • A••••••••• I••• national BDJul 20, 2015 to Apr 18, 2017 · Lincoln, Ne
- R•• C•••••• M••••••• L•• national BDJan 17, 2014 to Jul 16, 2015 · Lincoln, Ne
- P••••••• C•••••• A••••••• C••••••••• to F••••• I•••••••••left Nov 17, 2020, registered Nov 20, 2020 (3 days) · RIA to RIA
- R•••••• J•••• • A••••••••• I••• to P••••••• C•••••• A••••••• C•••••••••left Apr 18, 2017, registered Apr 10, 2017 (-8 days) · Other
- R•• C•••••• M••••••• L•• to R•••••• J•••• • A••••••••• I•••left Jul 16, 2015, registered Jul 20, 2015 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address