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.
R•••••• G••••• N••••••
- C••• L•• BD affiliated currentsince Apr 30, 2018 · Traer, Ia
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 29, 2023 to May 8, 2025 · Vinton, Ia
- C••••• A•••••• N••••••• L•• formerApr 30, 2018 to Jun 29, 2023 · Culver City, Ca
- L•• F•••••••• L•• BD affiliatedAug 20, 2013 to May 9, 2018 · Cedar Rapids, Ia
- P•••••• A•••••• G••••• L•• BD affiliatedMar 1, 2013 to Apr 30, 2018 · Cedar Rapids, Ia
- R••••• W• B•••• • C•• I••••••••• mixed wealthJun 28, 1999 to Mar 12, 2013 · Cedar Rapids, Ia
- C••••• I••••••••• A••••••• L•• to no registered destinationleft May 8, 2025 · Departure, no registered destination
- C••••• A•••••• N••••••• L•• to C••• L••left Jun 29, 2023, registered Apr 30, 2018 (-1886 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- L•• F•••••••• L•• to C••••• A•••••• N••••••• L••left May 9, 2018, registered Apr 30, 2018 (-9 days) · RIA to affiliated broker-dealer or bank
- P•••••• A•••••• G••••• L•• to L•• F•••••••• L••left Apr 30, 2018, registered Aug 20, 2013 (-1714 days) · Other
- R••••• W• B•••• • C•• I••••••••• to P•••••• A•••••• G••••• L••left Mar 12, 2013, registered Mar 1, 2013 (-11 days) · Other
- R•••••• G••••• N•••••• no longer registered at C••••• I••••••••• A••••••• L••; no later IA registration on IAPDMay 8, 2025 · a•••••• departure · fact
- R•••••• G••••• N•••••• left C••••• A•••••• N••••••• L•• for C••• L•• (registered 2018-04-30)Jun 29, 2023 · a•••••• firm change · fact
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address