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•••••• J• J••••
- O•••• P•••••••• S••••••••• L•• BD affiliated currentsince Feb 1, 2023 · Omaha, Ne
- O•••• P•••••••• S••••••••• L•• formerJan 25, 2021 to Jan 6, 2023 · Denver, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 18, 2014 to Jun 29, 2018 · Chicago, Il
- T• A••••••••• I••• formerNov 18, 2014 to Nov 17, 2020 · Chicago, Il
- O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••left Jan 6, 2023, registered Feb 1, 2023 (26 days) · corporate re-registration, not a move
- T• A••••••••• I••• to O•••• P•••••••• S••••••••• L••left Nov 17, 2020, registered Jan 25, 2021 (69 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 29, 2018, registered Nov 18, 2014 (-1319 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address