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.
N••••••• M••••
- E••••• J•••• national BD currentsince Jul 21, 2023 · Prairie Village, Ks
- C••••• F•••••••• independent RIADec 8, 2022 to Jul 12, 2023 · Grandview, Mo
- A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I••• BD affiliatedJun 27, 2019 to Dec 1, 2022 · Kansas City, Mo
- C••••• F•••••••• to E••••• J••••left Jul 12, 2023, registered Jul 21, 2023 (9 days) · RIA to affiliated broker-dealer or bank
- A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I••• to C••••• F••••••••left Dec 1, 2022, registered Dec 8, 2022 (7 days) · Affiliated broker-dealer or bank to independent RIA
- N••••••• M•••• left C••••• F•••••••• for E••••• J•••• (registered 2023-07-21)Jul 12, 2023 · Advisor changed firm · fact
- N••••••• M•••• left A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I••• for C••••• F•••••••• (registered 2022-12-08)Dec 1, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address