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••• M•••••• D••••
- R••••••••• C••••••••• G•••• mixed wealth currentsince Jul 2, 2019 · West Des Moines, Ia
- L•• F•••••••• L•• BD affiliated currentsince Sep 5, 2012 · West Des Moines, Ia
- A••••••• A••••••• S••••••• formerAug 16, 2005 to Sep 11, 2012 · W Des Moines, Ia
- N•• E•••••• S••••••••• C••••••••• formerFeb 12, 2002 to Sep 13, 2005 · West Des Moines, Ia
- A••••••• A••••••• S••••••• to L•• F•••••••• L••left Sep 11, 2012, registered Sep 5, 2012 (-6 days) · Other
- N•• E•••••• S••••••••• C••••••••• to A••••••• A••••••• S•••••••left Sep 13, 2005, registered Aug 16, 2005 (-28 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address