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.
M•••••• N••••• E•••••••
- B•••••• I••••••••• M••••••••• I•• mixed wealth currentsince Jul 16, 2020 · Omaha, Ne
- R•• C•••••• M••••••• L•• national BDDec 7, 2018 to Feb 19, 2020 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 16, 2018 to Dec 3, 2018 · Omaha, Ne
- T• A••••••••• I••• formerOct 16, 2018 to Dec 3, 2018 · Omaha, Ne
- R•• C•••••• M••••••• L•• to B•••••• I••••••••• M••••••••• I••left Feb 19, 2020, registered Jul 16, 2020 (148 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 3, 2018, registered Oct 16, 2018 (-48 days) · corporate re-registration, not a move
- T• A••••••••• I••• to R•• C•••••• M••••••• L••left Dec 3, 2018, registered Dec 7, 2018 (4 days) · Other
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address