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••••• D•••••
- S•••••••• A•••• M••••••••• L••• independent RIA currentsince Oct 27, 2020 · Iowa City, Ia
- R•• F•••••••• N•••••• independent RIAJan 26, 2011 to Nov 20, 2020 · Coralville, Ia
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Jul 1, 2014 · Coralville, Ia
- C•••••••• I••••••••• R•••••••• I••• unclassifiedAug 20, 2001 to Mar 28, 2005 · Coralville, Ia
- R•• F•••••••• N•••••• to S•••••••• A•••• M••••••••• L•••left Nov 20, 2020, registered Oct 27, 2020 (-24 days) · RIA to RIA
- C•••••••• I••••••••• R••••••• A•••••••• I••• to R•• F•••••••• N••••••left Jul 1, 2014, registered Jan 26, 2011 (-1252 days) · Other
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2005, registered Mar 28, 2005 (0 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
- Independent wealth managerderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address