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.
J•••• D•••• E••••
- F•••• F•••••••• independent RIA currentsince Oct 4, 2018 · Des Moine, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 1, 2004 to Oct 2, 2018 · Des Moines, Ia
- E•••• P••••••• S••••••• unclassifiedAug 29, 2002 to Dec 31, 2003 · Des Moines, Ia
- L••••• S••••• S••••••••• I••• unclassifiedFeb 25, 2002 to Jan 1, 2004 · Des Moines, Ia
- V••••• S••••••••• C••••••••• unclassifiedMar 1, 2001 to Sep 6, 2002 · Des Moines, Ia
- V••• F•••••••• A•••••••• I••• to F•••• F••••••••left Oct 2, 2018, registered Oct 4, 2018 (2 days) · Affiliated broker-dealer or bank to independent RIA
- L••••• S••••• S••••••••• I••• to E•••• P••••••• S•••••••left Jan 1, 2004, registered Aug 29, 2002 (-490 days) · Other
- E•••• P••••••• S••••••• to V••• F•••••••• A•••••••• I•••left Dec 31, 2003, registered Jan 1, 2004 (1 days) · Other
- V••••• S••••••••• C••••••••• to L••••• S••••• S••••••••• I•••left Sep 6, 2002, registered Feb 25, 2002 (-193 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
- Independent wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address