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••• W•••• A•••••
- R•• F•••••••• N•••••• independent RIA currentsince May 19, 2008 · Coralville, Ia
- D•• M••••• I••••••••• L•• independent RIAJul 15, 2014 to Feb 19, 2015 · Coralville, Ia
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 9, 2008 to Jul 29, 2016 · Coralville, Ia
- S••••••••• I••••••••• A•••••••• I••• independent RIADec 8, 2005 to Jul 10, 2008 · Cedar Rapids, Ia
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Dec 31, 2005 · Fairfield, Ia
- C•••••••• I••••••••• R•••••••• I••• unclassifiedJan 2, 2003 to Mar 28, 2005 · Coralville, Ia
- C•••••••• I••••••••• R••••••• A•••••••• I••• to D•• M••••• I••••••••• L••left Jul 29, 2016, registered Jul 15, 2014 (-745 days) · Other
- D•• M••••• I••••••••• L•• to no registered destinationleft Feb 19, 2015 · Departure, no registered destination
- S••••••••• I••••••••• A•••••••• I••• to R•• F•••••••• N••••••left Jul 10, 2008, registered May 19, 2008 (-52 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••••••• I••••••••• A•••••••• I•••left Dec 31, 2005, registered Dec 8, 2005 (-23 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address