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.
J•• B•••••
- F•• W••••• M••••••••• L•• BD affiliated currentsince Dec 4, 2019 · West Des Moines, Ia
- W•••• F•••• A••••••• wirehouseDec 14, 2017 to Dec 4, 2019 · West Des Moines, Ia
- C••••••••• W•••••• L•• independent RIAJun 22, 2017 to Dec 14, 2017 · West Des Moines, Ia
- D••••• C•••••• M••••••••• formerFeb 19, 2013 to Aug 3, 2017 · Johnston, Ia
- C••••••• W••••• A•••••••• L•• formerAug 10, 2011 to Jun 19, 2014 · Johnston, Ia
- D••••• C•••••• M••••••••• formerSep 18, 2007 to Nov 19, 2008 · West Des Moines, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 21, 2006 to Aug 24, 2007 · Windsor, Ct
- P•••••••• S••••••••• I••• BD affiliatedFeb 10, 2005 to Apr 28, 2005 · Des Moines, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDJan 20, 2004 to Oct 13, 2004 · West Des Moines, Ia
- W•••• F•••• A••••••• to F•• W••••• M••••••••• L••left Dec 4, 2019, registered Dec 4, 2019 (0 days) · Other
- C••••••••• W•••••• L•• to W•••• F•••• A•••••••left Dec 14, 2017, registered Dec 14, 2017 (0 days) · Other
- D••••• C•••••• M••••••••• to C••••••••• W•••••• L••left Aug 3, 2017, registered Jun 22, 2017 (-42 days) · Other
- C••••••• W••••• A•••••••• L•• to D••••• C•••••• M•••••••••left Jun 19, 2014, registered Feb 19, 2013 (-485 days) · Other
- D••••• C•••••• M••••••••• to C••••••• W••••• A•••••••• L••left Nov 19, 2008, registered Aug 10, 2011 (994 days) · Other
- V••• F•••••••• A•••••••• I••• to D••••• C•••••• M•••••••••left Aug 24, 2007, registered Sep 18, 2007 (25 days) · Other
- P•••••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left Apr 28, 2005, registered Feb 21, 2006 (299 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•••••••• S••••••••• I•••left Oct 13, 2004, registered Feb 10, 2005 (120 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address