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•••• W•••• E•••••••
- T•• M••••••••• L•• independent RIA currentsince May 17, 2021 · Bettendorf, Ia
- A•••••••• C•••••• M••••••••• independent RIAJun 15, 2017 to Oct 25, 2021 · Bettendorf, Ia
- T••• F•••••••• P••••••• unclassifiedJan 25, 2010 to Dec 31, 2017 · Bettendorf, Ia
- R•••••• O•• F••••••••• L•• unclassifiedOct 29, 2009 to Mar 31, 2010 · Davenport, Ia
- P••••••• C•••••• A•••••••• I••• formerDec 13, 2007 to Nov 5, 2009 · Davenport, Ia
- M•••••• A••••• A•••••••• I••• unclassifiedSep 6, 2006 to Oct 9, 2007 · Davenport, Ia
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedDec 8, 2003 to Dec 31, 2005 · Davenport, Ia
- A•••••• P••••••• P•••••••• I••• BD affiliatedDec 30, 1999 to Aug 30, 2004 · Davenport, Ia
- A•••••••• C•••••• M••••••••• to T•• M••••••••• L••left Oct 25, 2021, registered May 17, 2021 (-161 days) · RIA to a newly registered adviser · moved with a team
- T••• F•••••••• P••••••• to A•••••••• C•••••• M•••••••••left Dec 31, 2017, registered Jun 15, 2017 (-199 days) · Other · moved with a team
- R•••••• O•• F••••••••• L•• to T••• F•••••••• P•••••••left Mar 31, 2010, registered Jan 25, 2010 (-65 days) · Other
- P••••••• C•••••• A•••••••• I••• to R•••••• O•• F••••••••• L••left Nov 5, 2009, registered Oct 29, 2009 (-7 days) · Other
- M•••••• A••••• A•••••••• I••• to P••••••• C•••••• A•••••••• I•••left Oct 9, 2007, registered Dec 13, 2007 (65 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to M•••••• A••••• A•••••••• I•••left Dec 31, 2005, registered Sep 6, 2006 (249 days) · Other
- A•••••• P••••••• P•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Aug 30, 2004, registered Dec 8, 2003 (-266 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
- Independent wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address