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.
A••• E• B••••
- T••••••••• R••••••••• A•••••••• L•• BD affiliated currentsince Oct 9, 2019 · Marion, Ia
- N•••••• F•••••••• G••••• I••• independent RIAOct 8, 2018 to Sep 19, 2019 · Cedar Rapids, Ia
- R••••• W• B•••• • C•• I••••••••• mixed wealthJan 9, 2018 to Oct 10, 2018 · Quad Cities, Ia
- N•••••• F•••••••• G••••• I••• to T••••••••• R••••••••• A•••••••• L••left Sep 19, 2019, registered Oct 9, 2019 (20 days) · RIA to affiliated broker-dealer or bank
- R••••• W• B•••• • C•• I••••••••• to N•••••• F•••••••• G••••• I•••left Oct 10, 2018, registered Oct 8, 2018 (-2 days) · RIA to RIA
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address