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.
- E••••• J•••• national BD currentsince Jul 11, 2022 · Fort Worth, Tx
- F••••• I••••••••• independent RIAMay 20, 2021 to Jun 2, 2022 · Plano, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 18, 2016 to Jan 11, 2021 · Omaha, Ne
- T• A••••••••• I••• formerApr 18, 2016 to Dec 31, 2020 · Omaha, Ne
- F••••• I••••••••• to E••••• J••••left Jun 2, 2022, registered Jul 11, 2022 (39 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to F••••• I•••••••••left Jan 11, 2021, registered May 20, 2021 (129 days) · RIA to RIA · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 31, 2020, registered Apr 18, 2016 (-1718 days) · corporate re-registration, not a move
- S••••• O••• left F••••• I••••••••• for E••••• J•••• (registered 2022-07-11)Jun 2, 2022 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address