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.
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- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 1, 2017 · Pella, Ia
- I••••••••• C•••••• O• A••••••• I••• formerNov 3, 2014 to Nov 1, 2017 · Pella, Ia
- L•• F•••••••• L•• BD affiliatedJan 2, 2004 to Nov 13, 2014 · Pella, Ia
- M••••••••• I••••••••• S•••••••• I•• unclassifiedJan 1, 1999 to Sep 16, 2005 · Pella, Ia
- I••••••••• C•••••• O• A••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 1, 2017, registered Nov 1, 2017 (0 days) · Other · moved with a team
- L•• F•••••••• L•• to I••••••••• C•••••• O• A••••••• I•••left Nov 13, 2014, registered Nov 3, 2014 (-10 days) · Other
- M••••••••• I••••••••• S•••••••• I•• to L•• F•••••••• L••left Sep 16, 2005, registered Jan 2, 2004 (-623 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