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.
D•••• W•••••• D••••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Sep 11, 2013 · West Des Moines, Ia
- I••••••••• C•••••• O• A••••••• I••• formerJan 5, 2011 to Aug 30, 2013 · West Des Moines, Ia
- P•••••••• S••••••••• I••• BD affiliatedJul 3, 2003 to Jan 11, 2011 · Des Moines, Ia
- I••••••••• C•••••• O• A••••••• I••• to V•••• F•••••••• A•••••••• I•••left Aug 30, 2013, registered Sep 11, 2013 (12 days) · Other
- P•••••••• S••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Jan 11, 2011, registered Jan 5, 2011 (-6 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address