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.
S•••• T••••• D•••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 9, 2020 · Peoria, Az
- D••••••••• F•••••••• A••••••• G••••• I••• unclassifiedFeb 8, 2006 to Dec 11, 2020 · West Des Moines, Ia
- F•• S••••••••• C••••••••• formerDec 9, 2005 to Dec 14, 2020 · West Des Moines, Ia
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 1, 1999 to Dec 20, 2005 · West Des Moines, Ia
- F•• S••••••••• C••••••••• to D••••••••• F•••••••• A••••••• G••••• I•••left Dec 14, 2020, registered Feb 8, 2006 (-5423 days) · Other
- D••••••••• F•••••••• A••••••• G••••• I••• to L•• F•••••••• L••left Dec 11, 2020, registered Dec 9, 2020 (-2 days) · Other
- M•• I•••••••• S•••••••• L•• to F•• S••••••••• C•••••••••left Dec 20, 2005, registered Dec 9, 2005 (-11 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address