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.
S••••• L••• M••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jun 10, 2022 · Austin, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 29, 2018 to Jan 21, 2021 · Omaha, Ne
- T• A••••••••• I••• formerJun 28, 2018 to Dec 22, 2021 · Omaha, Ne
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 22, 2021, registered Jun 29, 2018 (-1272 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to K••••• A••••••• S•••••••• L••left Jan 21, 2021, registered Jun 10, 2022 (505 days) · RIA to affiliated broker-dealer or bank
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address