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•••• L• K••••••
- B••••••• I••••••••• A•••••••• L•• state registered currentsince Jul 18, 2022 · Cedar Rapids,, Ia
- C•••••• A••••••• BD affiliatedMar 12, 2018 to Jun 11, 2019 · Cedar Rapids, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 25, 2006 to Dec 31, 2016 · Cedar Rapids, Ia
- C•••••• A••••••• to B••••••• I••••••••• A•••••••• L••left Jun 11, 2019, registered Jul 18, 2022 (1133 days) · Affiliated broker-dealer or bank to a state-registered adviser
- V••• F•••••••• A•••••••• I••• to C•••••• A•••••••left Dec 31, 2016, registered Mar 12, 2018 (436 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address