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•••••• L•••••• F•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 13, 2023 · Taylor Ridge, Il
- W•••••• I••••••••• S••••••••• formerMay 20, 2019 to Jun 8, 2023 · Taylor Ridge, Il
- U••• B•••••• I••••••••• I••• formerMar 28, 2011 to May 2, 2019 · Cedar Falls, Ia
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Apr 11, 2011 · Moline, Il
- W•••• F•••• I••••••••• L•• unclassifiedAug 22, 2007 to Jan 3, 2011 · Moline, Il
- R••••• W• B•••• • C•• I••••••••• mixed wealthNov 30, 2005 to Aug 22, 2007 · Davenport, Ia
- W•••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jun 8, 2023, registered Jun 13, 2023 (5 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• I••••••••• I••• to W•••••• I••••••••• S•••••••••left May 2, 2019, registered May 20, 2019 (18 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Apr 11, 2011, registered Mar 28, 2011 (-14 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- R••••• W• B•••• • C•• I••••••••• to W•••• F•••• I••••••••• L••left Aug 22, 2007, registered Aug 22, 2007 (0 days) · Other
- M•••••• L•••••• F••••• left W•••••• I••••••••• S••••••••• for L•• F•••••••• L•• (registered 2023-06-13)Jun 8, 2023 · Advisor changed firm · fact
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address