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•••••• W•••• G••••••
- O•••• W•••••• I••• BD affiliated currentsince Feb 5, 2024 · Sioux Falls, Sd
- P•••• S••••••••• L•• no RAUMMay 4, 2018 to Feb 5, 2024 · Sioux Falls, Sd
- P•••••••• S••••••••• I••• BD affiliatedJun 17, 2016 to Apr 13, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerMar 20, 2014 to Apr 27, 2016 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 25, 2011 to Nov 25, 2013 · Omaha, Ne
- T• A••••••••• I••• formerFeb 25, 2011 to Nov 25, 2013 · Omaha, Ne
- P•••• S••••••••• L•• to O•••• W•••••• I•••left Feb 5, 2024, registered Feb 5, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••••••• S••••••••• I••• to P•••• S••••••••• L••left Apr 13, 2018, registered May 4, 2018 (21 days) · Affiliated broker-dealer or bank to another
- S•••••••• I••••••••• M••••••••• to P•••••••• S••••••••• I•••left Apr 27, 2016, registered Jun 17, 2016 (51 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Nov 25, 2013, registered Mar 20, 2014 (115 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 25, 2013, registered Feb 25, 2011 (-1004 days) · channel change inside one enterprise, not a move
- M•••••• W•••• G•••••• left P•••• S••••••••• L•• for O•••• W•••••• I••• (registered 2024-02-05)Feb 5, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address