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.
- 3•• L•••• W••••• state registered currentsince Dec 20, 2021 · Hutchinson, Ks
- C••• L•• BD affiliatedMay 29, 2019 to Dec 23, 2021 · Wichita, Ks
- W•••••• • R••• formerMay 6, 2016 to Jun 5, 2019 · Wichita, Ks
- W•••••• • R••• formerOct 18, 2013 to Sep 10, 2014 · Topeka, Ks
- E••••• J•••• national BDDec 10, 2012 to Jun 12, 2013 · Topeka, Ks
- C••• L•• to 3•• L•••• W•••••left Dec 23, 2021, registered Dec 20, 2021 (-3 days) · Affiliated broker-dealer or bank to a state-registered adviser
- W•••••• • R••• to C••• L••left Jun 5, 2019, registered May 29, 2019 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- E••••• J•••• to W•••••• • R•••left Jun 12, 2013, registered Oct 18, 2013 (128 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
- STATE REGISTEREDderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address