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.
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- O•••• P•••••••• S••••••••• L•• BD affiliated currentsince Jan 17, 2023 · Omaha, Ne
- O•••• P•••••••• S••••••••• L•• formerJan 10, 2022 to Jan 6, 2023 · Berwyn, Pa
- O•••• P•••••••• S••••••••• L•• BD affiliatedOct 19, 2020 to Dec 31, 2021 · Omaha, Ne
- B•••••• C•••••• I•• formerMay 7, 2018 to Oct 16, 2020 · Berwyn, Pa
- O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••left Jan 6, 2023, registered Jan 17, 2023 (11 days) · corporate re-registration, not a move
- O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••left Dec 31, 2021, registered Jan 10, 2022 (10 days) · corporate re-registration, not a move
- B•••••• C•••••• I•• to O•••• P•••••••• S••••••••• L••left Oct 16, 2020, registered Oct 19, 2020 (3 days) · corporate re-registration, not a move
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address