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•••• W•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 23, 2013 · Minneapolis, Mn
- F•• S••••••••• C••••••••• formerDec 4, 2007 to Dec 31, 2009 · Spokane, Wa
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2005 to Oct 26, 2007 · Des Moines, Ia
- R•••••• J•••• • A••••••••• I••• national BDMar 20, 2003 to Oct 16, 2003 · West Desmoines, Ia
- P•••• S•••••• • C•• institutionalOct 11, 2002 to Mar 31, 2003 · Des Moines, Ia
- F•• S••••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 31, 2009, registered Dec 23, 2013 (1453 days) · Other
- V••• F•••••••• A•••••••• I••• to F•• S••••••••• C•••••••••left Oct 26, 2007, registered Dec 4, 2007 (39 days) · Other
- R•••••• J•••• • A••••••••• I••• to V••• F•••••••• A•••••••• I•••left Oct 16, 2003, registered Jan 3, 2005 (445 days) · Other
- P•••• S•••••• • C•• to R•••••• J•••• • A••••••••• I•••left Mar 31, 2003, registered Mar 20, 2003 (-11 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address