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•••••• E••••• M••••••
- S••••• O•• S••••••••• I••• BD affiliated currentsince Oct 3, 2018 · West Des Moines, Ia
- L•• F•••••••• L•• BD affiliatedSep 18, 2012 to Jul 29, 2014 · Creston, Ia
- A•••••••• I••••••••• M••••••••• L•• formerJan 29, 2009 to Oct 2, 2018 · Creston, Ia
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 11, 2003 to Jul 31, 2012 · Atlantic, Ia
- C••••••••• F•••••••• G•••• unclassifiedOct 8, 1999 to Nov 16, 2010 · Creston, Ia
- A•••••••• I••••••••• M••••••••• L•• to L•• F•••••••• L••left Oct 2, 2018, registered Sep 18, 2012 (-2205 days) · Other
- L•• F•••••••• L•• to S••••• O•• S••••••••• I•••left Jul 29, 2014, registered Oct 3, 2018 (1527 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A•••••••• I••••••••• M••••••••• L••left Jul 31, 2012, registered Jan 29, 2009 (-1279 days) · Other
- C••••••••• F•••••••• G•••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Nov 16, 2010, registered Jul 11, 2003 (-2685 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address