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.
A••••• C••••••••• G•••••
- T•• P•••••• A••••••• G••••• L•• state registered currentsince Jun 22, 2021 · Omaha, Ne
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 30, 2019 to May 10, 2021 · Omaha, Ne
- T• A••••••••• I••• formerMar 13, 2019 to Sep 19, 2019 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 11, 2019 to Sep 19, 2019 · Omaha, Ne
- S•••••• N••••••• • C••••••• I••••••••• to T•• P•••••• A••••••• G••••• L••left May 10, 2021, registered Jun 22, 2021 (43 days) · Affiliated broker-dealer or bank to a state-registered adviser
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 19, 2019, registered Mar 13, 2019 (-190 days) · corporate re-registration, not a move
- T• A••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 19, 2019, registered Oct 30, 2019 (41 days) · Other
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address