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.
L••••• D•••••• H••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 21, 2020 · Cedar Rapids, Ia
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedDec 5, 2019 to Jul 27, 2020 · Cedar Rapids, Ia
- B•• P•••••••• I••• BD affiliatedJul 23, 2019 to Jul 27, 2020 · Cedar Rapids, Ia
- A•••••••• I••••••••• M••••••••• L•• formerSep 29, 2008 to Jul 24, 2019 · Cedar Rapids, Ia
- J••• R•••• I••••••••• A••••••• unclassifiedMar 9, 2006 to Jan 15, 2009 · Cedar Rapids, Ia
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 9, 2003 to Jul 31, 2012 · Cedar Rapids, Ia
- B•• P•••••••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Jul 27, 2020, registered Dec 5, 2019 (-235 days) · Affiliated broker-dealer or bank to another
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jul 27, 2020, registered Aug 21, 2020 (25 days) · Affiliated broker-dealer or bank to another
- A•••••••• I••••••••• M••••••••• L•• to B•• P•••••••• I•••left Jul 24, 2019, registered Jul 23, 2019 (-1 days) · RIA to affiliated broker-dealer or bank
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to J••• R•••• I••••••••• A•••••••left Jul 31, 2012, registered Mar 9, 2006 (-2336 days) · Other
- J••• R•••• I••••••••• A••••••• to A•••••••• I••••••••• M••••••••• L••left Jan 15, 2009, registered Sep 29, 2008 (-108 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address