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.
R••••• G••• N••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Dec 3, 2008 · Iowa City, Ia
- I••••••••• C•••••• O• A••••••• I••• formerSep 21, 2006 to Nov 10, 2008 · Rock Island, Il
- W•••• F•••• I••••••••• L•• unclassifiedSep 14, 2001 to Oct 4, 2006 · Galesburg, Il
- I••••••••• C•••••• O• A••••••• I••• to A••••• A•• P••••••• S•••••••left Nov 10, 2008, registered Dec 3, 2008 (23 days) · Other
- W•••• F•••• I••••••••• L•• to I••••••••• C•••••• O• A••••••• I•••left Oct 4, 2006, registered Sep 21, 2006 (-13 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