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.
T••• A• R••••••
- R•• C•••••• M••••••• L•• national BD currentsince Mar 10, 2023 · Minneapolis, Mn
- M••••• S•••••• wirehouseJun 29, 2021 to Feb 23, 2023 · West Des Moines, Ia
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Jun 10, 2021 · Norwalk, Ia
- I••••••••• A••••••• S••••••• I•• formerMar 8, 2017 to Jul 17, 2020 · Indianapolis, In
- P•••••••• S••••••••• I••• BD affiliatedApr 21, 2004 to Feb 17, 2017 · Des Moines, Ia
- L•• F•••••••• L•• BD affiliatedApr 15, 2003 to Feb 13, 2004 · Johnston, Ia
- W•••• F•••• I••••••••• L•• unclassifiedJan 29, 2002 to Jan 9, 2003 · Des Moines, Ia
- M••••• S•••••• to R•• C•••••• M••••••• L••left Feb 23, 2023, registered Mar 10, 2023 (15 days) · Wirehouse to affiliated broker-dealer or bank
- S••••••••• A•••••• A•••••••• I••• to M••••• S••••••left Jun 10, 2021, registered Jun 29, 2021 (19 days) · Affiliated broker-dealer or bank to wirehouse
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to I••••••••• A••••••• S••••••• I••left Feb 17, 2017, registered Mar 8, 2017 (19 days) · Other
- L•• F•••••••• L•• to P•••••••• S••••••••• I•••left Feb 13, 2004, registered Apr 21, 2004 (68 days) · Other
- W•••• F•••• I••••••••• L•• to L•• F•••••••• L••left Jan 9, 2003, registered Apr 15, 2003 (96 days) · Other
- T••• A• R•••••• left M••••• S•••••• for R•• C•••••• M••••••• L•• (registered 2023-03-10)Feb 23, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address