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.
M•••••• J•••• A••••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 1, 2019 · West Des Moines, Ia
- S••••• F•••••••• G•••• I•• formerSep 2, 2016 to Mar 8, 2019 · Windsor Heights, Ia
- V•• A••••••• S••••••• formerFeb 7, 2003 to Sep 1, 2016 · West Des Moines, Ia
- T•• M••••••• I••• unclassifiedJan 1, 1999 to Feb 7, 2003 · W Des Moines , Ia
- S••••• F•••••••• G•••• I•• to L•• F•••••••• L••left Mar 8, 2019, registered Mar 1, 2019 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••left Sep 1, 2016, registered Sep 2, 2016 (1 days) · corporate re-registration, not a move
- T•• M••••••• I••• to V•• A••••••• S•••••••left Feb 7, 2003, registered Feb 7, 2003 (0 days) · corporate re-registration, not a move
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