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.
G•••••• D•••• T••••••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Oct 29, 2019 · Geneseo, Il
- T• A••••••••• I••• formerAug 2, 2018 to Sep 10, 2019 · Cedar Rapids, Ia
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 2, 2018 to Sep 10, 2019 · Cedar Rapids, Ia
- U••• B•••••• I••••••••• I••• formerApr 22, 2015 to Jul 10, 2018 · Galena, Il
- L•• F•••••••• L•• BD affiliatedFeb 24, 2012 to Apr 15, 2015 · Dubuque, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDSep 9, 2011 to Feb 21, 2012 · Lake Geneva, Wi
- M•• I••••••••• M••••••••• C•••• formerSep 13, 2010 to Sep 29, 2011 · Milwaukee, Wi
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedFeb 25, 2009 to Sep 29, 2010 · Charlotte, Nc
- S••••• C•••••• M••••••••• I••• independent RIANov 8, 2006 to Feb 24, 2009 · Dubuque, Ia
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 10, 2019, registered Aug 2, 2018 (-404 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 10, 2019, registered Aug 2, 2018 (-404 days) · channel change inside one enterprise, not a move
- U••• B•••••• I••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 10, 2018, registered Aug 2, 2018 (23 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••left Apr 15, 2015, registered Apr 22, 2015 (7 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Feb 21, 2012, registered Feb 24, 2012 (3 days) · Other
- M•• I••••••••• M••••••••• C•••• to A••••••••• F•••••••• S•••••••• L••left Sep 29, 2011, registered Sep 9, 2011 (-20 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to M•• I••••••••• M••••••••• C••••left Sep 29, 2010, registered Sep 13, 2010 (-16 days) · Other
- S••••• C•••••• M••••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Feb 24, 2009, registered Feb 25, 2009 (1 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address