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.
T•••••• K•••••
- B•••••••• F•••••••• A••••••• L•• state registered currentsince Sep 19, 2023 · Bennington, Ne
- F••••••••• I••••••••• A••••••• L•• independent RIAJul 1, 2021 to Oct 2, 2023 · Phoenix, Az
- R•••••• W••••• A•••••••• L•• state registeredJun 8, 2017 to Jun 30, 2021 · La Vista, Ne
- F•••••••• E••••• S•••••••• I••• formerJun 30, 2015 to May 15, 2017 · O••••, Ne
- E•••••••• A•••••••• L•• national BDNov 20, 2013 to Jun 17, 2015 · O••••, Ne
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAJan 16, 2013 to Nov 21, 2013 · O••••, Ne
- F••••••••• I••••••••• A••••••• L•• to B•••••••• F•••••••• A••••••• L••left Oct 2, 2023, registered Sep 19, 2023 (-13 days) · RIA to a state-registered adviser
- R•••••• W••••• A•••••••• L•• to F••••••••• I••••••••• A••••••• L••left Jun 30, 2021, registered Jul 1, 2021 (1 days) · Other
- F•••••••• E••••• S•••••••• I••• to R•••••• W••••• A•••••••• L••left May 15, 2017, registered Jun 8, 2017 (24 days) · Other
- E•••••••• A•••••••• L•• to F•••••••• E••••• S•••••••• I•••left Jun 17, 2015, registered Jun 30, 2015 (13 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Nov 21, 2013, registered Nov 20, 2013 (-1 days) · Other
- T•••••• K••••• left F••••••••• I••••••••• A••••••• L•• for B•••••••• F•••••••• A••••••• L•• (registered 2023-09-19)Oct 2, 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
- STATE REGISTEREDderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address