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.
S••••• L••• B••••
- A•••• W••••• M••••••••• independent RIA currentsince Jan 16, 2017 · Waverly, Ia
- A•••• W••••• M••••••••• formerJun 30, 2016 to Apr 28, 2017 · Cedar Falls, Ia
- R•• F•••••••• N•••••• independent RIAFeb 16, 2010 to Sep 30, 2016 · Cedar Falls, Ia
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 6, 2003 to Feb 12, 2010 · Waterloo, Ia
- N••••••• A••••••• formerJan 1, 1999 to Dec 31, 2002 · Waterloo, Ia
- N••••••• A••••••• formerJan 1, 1999 to Feb 22, 2011
- A•••• W••••• M••••••••• to A•••• W••••• M•••••••••left Apr 28, 2017, registered Jan 16, 2017 (-102 days) · channel change inside one enterprise, not a move · moved with a team
- R•• F•••••••• N•••••• to A•••• W••••• M•••••••••left Sep 30, 2016, registered Jun 30, 2016 (-92 days) · Other · moved with a team
- N••••••• A••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Feb 22, 2011, registered Aug 6, 2003 (-2757 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to R•• F•••••••• N••••••left Feb 12, 2010, registered Feb 16, 2010 (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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address