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.
R••• A• M•••••••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 13, 2025 · Lincoln, Ne
- A••• I•••••• I•• independent RIAAug 23, 2024 to Jan 2, 2025 · Omaha, Ne
- W•••• F•••• A••••••• wirehouseNov 22, 2022 to Oct 25, 2023 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseDec 7, 2018 to Nov 22, 2022 · St. Louis, Mo
- A••• I•••••• I•• to A••••••• A••••••• S•••••••• L••left Jan 2, 2025, registered Jan 13, 2025 (11 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to A••• I•••••• I••left Oct 25, 2023, registered Aug 23, 2024 (303 days) · Wirehouse to independent RIA
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Nov 22, 2022, registered Nov 22, 2022 (0 days) · channel change inside one enterprise, not a move · moved with a team
- R••• A• M••••••• left A••• I•••••• I•• for A••••••• A••••••• S•••••••• L•• (registered 2025-01-13)Jan 2, 2025 · Advisor changed firm · fact
- R••• A• M••••••• left W•••• F•••• A••••••• for A••• I•••••• I•• (registered 2024-08-23)Oct 25, 2023 · 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
- 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