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•••• J••••• S••••••••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 7, 2022 · Lincoln, Ne
- S••••••••• A•••••• A•••••••• I••• formerJul 18, 2017 to Aug 5, 2021 · La Vista, Ne
- C•••••• I••••••••• M••••••••• I••• formerJan 30, 2017 to Jun 19, 2017 · Lincoln, Ne
- A••••••• A••••••• S••••••• formerJan 5, 2017 to Jan 19, 2017 · Lincoln, Ne
- S••••••••• A•••••• A•••••••• I••• to A••••••• A••••••• S•••••••• L••left Aug 5, 2021, registered Apr 7, 2022 (245 days) · Affiliated broker-dealer or bank to another
- C•••••• I••••••••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jun 19, 2017, registered Jul 18, 2017 (29 days) · Other
- A••••••• A••••••• S••••••• to C•••••• I••••••••• M••••••••• I•••left Jan 19, 2017, registered Jan 30, 2017 (11 days) · channel change inside one enterprise, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address