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.
K••••••• S•• D•••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Oct 22, 2018 · St Charles, Ia
- I•• W••••• M••••••••• I••• BD affiliatedJan 2, 2018 to Nov 9, 2018 · St. Charles, Ia
- S•• I••••••••• I••• formerJun 18, 2015 to Dec 31, 2017 · St Charles, Ia
- A••••••• A••••••• S••••••• formerMar 29, 2000 to Jul 16, 2015 · St Charles, Ia
- I•• W••••• M••••••••• I••• to V•••• F•••••••• A•••••••• I•••left Nov 9, 2018, registered Oct 22, 2018 (-18 days) · Affiliated broker-dealer or bank to another
- S•• I••••••••• I••• to I•• W••••• M••••••••• I•••left Dec 31, 2017, registered Jan 2, 2018 (2 days) · Other
- A••••••• A••••••• S••••••• to S•• I••••••••• I•••left Jul 16, 2015, registered Jun 18, 2015 (-28 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address