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.
- L•• F•••••••• L•• BD affiliated currentsince Mar 7, 2024 · Olathe, Ks
- A••••••••• L•• state registered currentsince Dec 21, 2017 · Olathe, Ks
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2017 to Mar 14, 2024 · Olathe, Ks
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJun 8, 2017 to Jul 19, 2017 · Olathe, Ks
- S••••••••• A•••••• A•••••••• I••• to A••••••••• L••left Mar 14, 2024, registered Dec 21, 2017 (-2275 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Jul 19, 2017, registered Jul 17, 2017 (-2 days) · Other · moved with a team
- J••• A• R••••• left S••••••••• A•••••• A•••••••• I••• for A••••••••• L•• (registered 2017-12-21)Mar 14, 2024 · 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
- STATE REGISTEREDderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address