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•••••• T• H••••••••
- O••••••••• S••••••••• I••• BD affiliated currentsince Sep 6, 2024 · Wichita, Ks
- E••••• J•••• national BDJan 17, 2023 to Jun 1, 2023 · Wichita, Ks
- L•• F•••••••• L•• BD affiliatedAug 8, 2017 to Jan 30, 2023 · Wichita, Ks
- E••••• J•••• to O••••••••• S••••••••• I•••left Jun 1, 2023, registered Sep 6, 2024 (463 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to E••••• J••••left Jan 30, 2023, registered Jan 17, 2023 (-13 days) · RIA to affiliated broker-dealer or bank
- M•••••• T• H•••••••• left E••••• J•••• for O••••••••• S••••••••• I••• (registered 2024-09-06)Jun 1, 2023 · Advisor changed firm · fact
- M•••••• T• H•••••••• left L•• F•••••••• L•• for E••••• J•••• (registered 2023-01-17)Jan 30, 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address