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.
T••• A••• J••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 30, 2017 · Cedar Falls, Ia
- W••••••• F•••••••• S•••••••• I••• formerNov 21, 2011 to Feb 1, 2017 · Cedar Falls, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 1, 2010 to Nov 22, 2011 · Cedar Rapids, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 13, 2007 to Nov 13, 2009 · Cedar Rapids, Ia
- P••• A••••• S••••••••• L•• BD affiliatedJan 16, 2002 to Mar 31, 2006 · Cedar Falls, Ia
- W••••••• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 1, 2017, registered Jan 30, 2017 (-2 days) · Other · moved with a team
- V••• F•••••••• A•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Nov 22, 2011, registered Nov 21, 2011 (-1 days) · Other
- P••• A••••• S••••••••• L•• to V••• F•••••••• A•••••••• I•••left Mar 31, 2006, registered Mar 13, 2007 (347 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address