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.
P••• A••••• B•••
- L•• F•••••••• L•• BD affiliated currentsince Dec 12, 2022 · Marshalltown, Ia
- B••• A•••• M••••••••• unclassifiedDec 13, 1999 to Dec 31, 2003 · Marshalltown, Ia
- F•• S••••••••• C••••••••• formerFeb 12, 1999 to Dec 13, 2022 · Marshalltown, Ia
- F•• S••••••••• C••••••••• to B••• A•••• M•••••••••left Dec 13, 2022, registered Dec 13, 1999 (-8401 days) · Other
- B••• A•••• M••••••••• to L•• F•••••••• L••left Dec 31, 2003, registered Dec 12, 2022 (6921 days) · Other
- P••• A••••• B••• left F•• S••••••••• C••••••••• for B••• A•••• M••••••••• (registered 1999-12-13)Dec 13, 2022 · Advisor changed firm · fact
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address