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.
- N••••••• A••••••• former currentsince Jan 1, 1999
- L•• F•••••••• L•• BD affiliatedSep 13, 2012 to Feb 1, 2016 · Waterloo, Ia
- A•••••••• I••••••••• M••••••••• L•• formerDec 4, 2008 to Dec 20, 2016 · Waterloo, Ia
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 6, 2003 to Mar 30, 2009 · Waterloo, Ia
- N••••••• A••••••• formerJan 1, 1999 to Dec 31, 2002 · Waterloo, Ia
- A•••••••• I••••••••• M••••••••• L•• to L•• F•••••••• L••left Dec 20, 2016, registered Sep 13, 2012 (-1559 days) · Other
- L•• F•••••••• L•• to no registered destinationleft Feb 1, 2016 · Departure, no registered destination
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A•••••••• I••••••••• M••••••••• L••left Mar 30, 2009, registered Dec 4, 2008 (-116 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
- Former SEC-registered adviserderived
- Years in industry
- 47derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address