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.
J••• C••••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Apr 27, 2022 · Omaha, Ne
- L•• F•••••••• L•• BD affiliatedJul 7, 2021 to Apr 21, 2022 · O••••, Ne
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAFeb 5, 2021 to Jun 11, 2021 · O••••, Ne
- L•• F•••••••• L•• to I•••••••• A•••••••• L••left Apr 21, 2022, registered Apr 27, 2022 (6 days) · RIA to RIA
- M••••• O• O•••• I••••••• S•••••••• I••• to L•• F•••••••• L••left Jun 11, 2021, registered Jul 7, 2021 (26 days) · Other
- J••• C•••••• left L•• F•••••••• L•• for I•••••••• A•••••••• L•• (registered 2022-04-27)Apr 21, 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
- 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