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.
D•••• J•••• C•••••••••
- L• A•••••••• L••••• state registered currentsince May 11, 2015 · Des Moines, Ia
- H•• A•••••••• L•• formerDec 8, 2010 to May 12, 2015 · Des Moines, Ia
- F•••• A••••• S••••••••• I••• formerDec 1, 2009 to May 3, 2012 · Des Moines, Ia
- L••••• P••••••• G•••• unclassifiedMay 3, 1999 to Dec 13, 2005 · Des Moines, Ia
- L•• F•••••••• L•• BD affiliatedMar 3, 1999 to Dec 15, 2009 · Des Moines, Ia
- H•• A•••••••• L•• to L• A•••••••• L•••••left May 12, 2015, registered May 11, 2015 (-1 days) · Other
- F•••• A••••• S••••••••• I••• to H•• A•••••••• L••left May 3, 2012, registered Dec 8, 2010 (-512 days) · Other
- L•• F•••••••• L•• to L••••• P••••••• G••••left Dec 15, 2009, registered May 3, 1999 (-3879 days) · Other
- L••••• P••••••• G•••• to F•••• A••••• S••••••••• I•••left Dec 13, 2005, registered Dec 1, 2009 (1449 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
- STATE REGISTEREDderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address