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.
S••••• W•••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Dec 23, 2021 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedAug 16, 2021 to Dec 22, 2021 · Shawnee Mission, Ks
- W•••••• • R••• formerJun 25, 2019 to Sep 8, 2021 · Overland Park, Ks
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left Dec 22, 2021, registered Dec 23, 2021 (1 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to L•• F•••••••• L••left Sep 8, 2021, registered Aug 16, 2021 (-23 days) · Affiliated broker-dealer or bank to another · moved with a team
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address