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.
L••••• A••••• D••••••
- C••••••••• F•••••••• N•••••• national BD currentsince May 13, 2025 · Omaha, Ne
- A••••••• A•••••• L•• state registeredAug 27, 2020 to May 9, 2025 · Omaha, Ne
- S•••••• P•••••••• L•• independent RIAFeb 25, 2014 to Oct 21, 2020 · Omaha, Ne
- C••••• A••••••• L•• formerApr 25, 2013 to Feb 25, 2014 · Omaha, Ne
- A••••••• A•••••• L•• to C••••••••• F•••••••• N••••••left May 9, 2025, registered May 13, 2025 (4 days) · Other
- S•••••• P•••••••• L•• to A••••••• A•••••• L••left Oct 21, 2020, registered Aug 27, 2020 (-55 days) · RIA to a state-registered adviser · moved with a team
- C••••• A••••••• L•• to S•••••• P•••••••• L••left Feb 25, 2014, registered Feb 25, 2014 (0 days) · Other
- L••••• A••••• D•••••• left A••••••• A•••••• L•• for C••••••••• F•••••••• N•••••• (registered 2025-05-13)May 9, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address