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••••• V•••••• F••••
- W••••••••• R••••••••• A••••••• institutional currentsince Jan 22, 2025 · Aliso Viejo, Ca
- L•• F•••••••• L•• BD affiliatedJun 21, 2022 to Jan 14, 2025 · Tulsa, Ok
- K••••• A••••••• S•••••••• L•• BD affiliatedDec 3, 2018 to Mar 31, 2022 · Kansas City, Mo
- L•• F•••••••• L•• to W••••••••• R••••••••• A•••••••left Jan 14, 2025, registered Jan 22, 2025 (8 days) · Other
- K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••left Mar 31, 2022, registered Jun 21, 2022 (82 days) · Affiliated broker-dealer or bank to independent RIA
- T••••• V•••••• F•••• left L•• F•••••••• L•• for W••••••••• R••••••••• A••••••• (registered 2025-01-22)Jan 14, 2025 · Advisor changed firm · fact
- T••••• V•••••• F•••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2022-06-21)Mar 31, 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
- Institutional managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address