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.
R••••• J••••• B•••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 14, 2018 · Davenport, Ia
- I••••••••• A••••••• C••• formerApr 18, 2013 to May 14, 2018 · Davenport, Ia
- C••• F•••••••• S•••••••• L••• formerJun 1, 2010 to Apr 18, 2013 · Davenport, Ia
- I••••••••• C•••••• O• A••••••• I••• formerAug 3, 2009 to Jun 2, 2010 · Moline, Il
- U••• B•••••• I••••••••• I••• formerMar 24, 2006 to Sep 10, 2007 · Davenport, Ia
- I••••••••• A••••••• C••• to L•• F•••••••• L••left May 14, 2018, registered May 14, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- C••• F•••••••• S•••••••• L••• to I••••••••• A••••••• C•••left Apr 18, 2013, registered Apr 18, 2013 (0 days) · Other
- I••••••••• C•••••• O• A••••••• I••• to C••• F•••••••• S•••••••• L•••left Jun 2, 2010, registered Jun 1, 2010 (-1 days) · Other
- U••• B•••••• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Sep 10, 2007, registered Aug 3, 2009 (693 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address