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.
W•••••• B•••• D•••••
- I•••••••• A••••••• S•••••••• independent RIA currentsince Jan 24, 2024 · Dallas, Tx
- I•••••••• A•••••••• L•• BD affiliated currentsince Sep 12, 2023 · Yardley, Pa
- P•••••••• S••••••••• I••• BD affiliatedJan 27, 2016 to Aug 15, 2023 · Des Moines, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 2, 2010 to Dec 21, 2015 · Windsor, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 18, 2010 · West Des Moines, Ia
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 7, 2005 to Jun 1, 2009 · Des Moines, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 1, 2004 to Apr 5, 2005 · Des Moines, Ia
- L••••• S••••• S••••••••• I••• unclassifiedMar 11, 2003 to Jan 1, 2004 · Des Moines, Ia
- P•••••••• S••••••••• I••• to I•••••••• A•••••••• L••left Aug 15, 2023, registered Sep 12, 2023 (28 days) · Affiliated broker-dealer or bank to independent RIA
- V••• F•••••••• A•••••••• I••• to P•••••••• S••••••••• I•••left Dec 21, 2015, registered Jan 27, 2016 (37 days) · Other
- M••••• S•••••• to V••• F•••••••• A•••••••• I•••left Mar 18, 2010, registered Mar 2, 2010 (-16 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to C•••••••• G••••• M•••••• I•••left Apr 5, 2005, registered Apr 7, 2005 (2 days) · Other
- L••••• S••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
- W•••••• B•••• D••••• left P•••••••• S••••••••• I••• for I•••••••• A•••••••• L•• (registered 2023-09-12)Aug 15, 2023 · Advisor changed firm · fact
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