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••• J•••••••• D••••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Aug 20, 2020 · W Des Moines, Ia
- C•••••• L•• independent RIAFeb 17, 2015 to Feb 28, 2018 · Des Moines, Ia
- P•••••••• S••••••••• I••• BD affiliatedMar 19, 2014 to Feb 18, 2015 · West Des Moines, Ia
- C••• B•••••••• S•••••••• I••• formerOct 17, 2013 to Feb 7, 2014 · Waverly, Ia
- C••••••• F•••••••• A••••••• formerMar 25, 2013 to Jun 19, 2013 · Raleigh, Nc
- P•••••••• S••••••••• I••• BD affiliatedJan 4, 2006 to Mar 14, 2012 · Des Moines, Ia
- C•••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Feb 28, 2018, registered Aug 20, 2020 (904 days) · Other
- P•••••••• S••••••••• I••• to C•••••• L••left Feb 18, 2015, registered Feb 17, 2015 (-1 days) · Other
- C••• B•••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Feb 7, 2014, registered Mar 19, 2014 (40 days) · Other
- C••••••• F•••••••• A••••••• to C••• B•••••••• S•••••••• I•••left Jun 19, 2013, registered Oct 17, 2013 (120 days) · Other
- P•••••••• S••••••••• I••• to C••••••• F•••••••• A•••••••left Mar 14, 2012, registered Mar 25, 2013 (376 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
- No RAUM reportedderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address