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.
N•••••• M•••• K••••
- D••• D••••••• • C•• independent RIA currentsince Dec 11, 2023 · Blue Springs, Mo
- L•• F•••••••• L•• BD affiliatedAug 16, 2023 to Dec 18, 2023 · Kansas City, Mo
- C••••••• B•••••••• S•••••••• I•• formerOct 4, 2019 to Aug 16, 2023 · St. Louis, Mo
- L•• F•••••••• L•• to D••• D••••••• • C••left Dec 18, 2023, registered Dec 11, 2023 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- C••••••• B•••••••• S•••••••• I•• to L•• F•••••••• L••left Aug 16, 2023, registered Aug 16, 2023 (0 days) · corporate re-registration, not a move
- N•••••• M•••• K•••• left L•• F•••••••• L•• for D••• D••••••• • C•• (registered 2023-12-11)Dec 18, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address