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.
B•••• S•••••• B•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 16, 2022 · Cedar Rapids, Ia
- P•••••••• S••••••••• I••• BD affiliatedApr 1, 2005 to Jun 23, 2022 · Cedar Falls, Ia
- N•• E•••••• S••••••••• C••••••••• formerJul 23, 2001 to Feb 18, 2005 · West Des Moines, Ia
- P•••••••• S••••••••• I••• to C••••••••• F•••••••• N••••••left Jun 23, 2022, registered Jun 16, 2022 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- N•• E•••••• S••••••••• C••••••••• to P•••••••• S••••••••• I•••left Feb 18, 2005, registered Apr 1, 2005 (42 days) · Other
- B•••• S•••••• B••••• left P•••••••• S••••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2022-06-16)Jun 23, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address