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.
D•••• R•••••• F•••
- B•• P•••••••• I••• BD affiliated currentsince Aug 13, 2019 · Cedar Rapids, Ia
- S••••••••• A•••••• A•••••••• I••• formerNov 2, 2015 to Aug 15, 2019 · Jamestown, Nd
- E•••••••• A•••••••• L•• national BDJul 6, 2000 to Nov 5, 2015 · Jamestown, Nd
- S••••••••• A•••••• A•••••••• I••• to B•• P•••••••• I•••left Aug 15, 2019, registered Aug 13, 2019 (-2 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Nov 5, 2015, registered Nov 2, 2015 (-3 days) · Other · moved with a team
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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address