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.
K••• A••• W•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 17, 2020 · West Des Moines, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDNov 11, 2016 to Jan 21, 2020 · West Des Moines, Ia
- F•• S••••••••• C••••••••• formerFeb 3, 2012 to Nov 2, 2016 · West Des Moines, Ia
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 1, 1999 to Feb 9, 2012 · Des Moines, Ia
- A••••••••• F•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 21, 2020, registered Jan 17, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- F•• S••••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 2, 2016, registered Nov 11, 2016 (9 days) · Other
- M•• I•••••••• S•••••••• L•• to F•• S••••••••• C•••••••••left Feb 9, 2012, registered Feb 3, 2012 (-6 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