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•••• W•••••• S••••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 23, 2018 · Fairfield, Ia
- C••• B•••••••• S•••••••• I••• formerJan 25, 2013 to May 23, 2018 · Waverly, Ia
- B•• P•••••••• I••• BD affiliatedSep 23, 2011 to Oct 25, 2012 · Cedar Rapids, Ia
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedFeb 13, 2008 to Jan 12, 2011 · Chicago, Il
- G••••• P•••••••• S••••••••• I••• formerOct 24, 2006 to Aug 3, 2007 · Dubuque, Ia
- E••••• J•••• national BDOct 5, 2004 to Nov 28, 2005 · Centerville, Ia
- C••• B•••••••• S•••••••• I••• formerMay 3, 2001 to Jan 13, 2004 · Waverly, Ia
- C••• B•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 23, 2018, registered May 23, 2018 (0 days) · RIA to affiliated broker-dealer or bank
- B•• P•••••••• I••• to C••• B•••••••• S•••••••• I•••left Oct 25, 2012, registered Jan 25, 2013 (92 days) · Other
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to B•• P•••••••• I•••left Jan 12, 2011, registered Sep 23, 2011 (254 days) · Other
- G••••• P•••••••• S••••••••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Aug 3, 2007, registered Feb 13, 2008 (194 days) · Other
- E••••• J•••• to G••••• P•••••••• S••••••••• I•••left Nov 28, 2005, registered Oct 24, 2006 (330 days) · Other
- C••• B•••••••• S•••••••• I••• to E••••• J••••left Jan 13, 2004, registered Oct 5, 2004 (266 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address