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.
- F••• independent RIA currentsince Apr 18, 2019 · Clive, Ia
- G•• S••••••••• I••• BD affiliatedSep 8, 2004 to Nov 1, 2018 · Clive, Ia
- M•••• C••••••• A••••••• S•••••• BD affiliatedAug 30, 2004 to Sep 8, 2004 · Des Moines, Ia
- M•• F•••••••• S•••••••• I••• formerJan 1, 1999 to Aug 12, 2003 · Minnetonka, Mn
- G•• S••••••••• I••• to F•••left Nov 1, 2018, registered Apr 18, 2019 (168 days) · Affiliated broker-dealer or bank to independent RIA
- M•••• C••••••• A••••••• S•••••• to G•• S••••••••• I•••left Sep 8, 2004, registered Sep 8, 2004 (0 days) · Other
- M•• F•••••••• S•••••••• I••• to M•••• C••••••• A••••••• S••••••left Aug 12, 2003, registered Aug 30, 2004 (384 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address