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.
G•••• E••••• H•••••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Aug 12, 2008 · Davenport, Ia
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedFeb 18, 2005 to Jul 25, 2008 · Des Moines, Ia
- A• G• E•••••• • S•••• I••• unclassifiedSep 27, 2002 to Feb 15, 2005 · Davenport, Ia
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 12, 1998 to Oct 1, 2002 · Moline, Il
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Jul 25, 2008, registered Aug 12, 2008 (18 days) · Other
- A• G• E•••••• • S•••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Feb 15, 2005, registered Feb 18, 2005 (3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A• G• E•••••• • S•••• I•••left Oct 1, 2002, registered Sep 27, 2002 (-4 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address