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.
M•••••• C•••••• M•••••
- D•• F•••••••• L••••• state registered currentsince Jul 15, 2019 · Urbandale, Ia
- C••••••••• W•••••• L•• independent RIASep 13, 2017 to Jul 12, 2019 · Ankeny, Ia
- S••••• F•••••••• G•••• I•• formerSep 2, 2016 to Sep 19, 2017 · Urbandale, Ia
- V•• A••••••• S••••••• formerApr 1, 2009 to Sep 1, 2016 · Urbandale, Ia
- N•• A•••••• S•••••••• L•• formerJul 1, 2004 to Apr 6, 2009 · Urbandale, Ia
- S••••• C•••••• M••••••••• I••• independent RIAJan 15, 2004 to Aug 26, 2004 · Clive, Ia
- C••••••••• W•••••• L•• to D•• F•••••••• L•••••left Jul 12, 2019, registered Jul 15, 2019 (3 days) · RIA to a state-registered adviser
- S••••• F•••••••• G•••• I•• to C••••••••• W•••••• L••left Sep 19, 2017, registered Sep 13, 2017 (-6 days) · Other
- V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••left Sep 1, 2016, registered Sep 2, 2016 (1 days) · corporate re-registration, not a move
- N•• A•••••• S•••••••• L•• to V•• A••••••• S•••••••left Apr 6, 2009, registered Apr 1, 2009 (-5 days) · Other
- S••••• C•••••• M••••••••• I••• to N•• A•••••• S•••••••• L••left Aug 26, 2004, registered Jul 1, 2004 (-56 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address