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.
L••• W•••• F•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Cedar Rapids, Ia
- C••• B•••••••• S•••••••• I••• formerJun 14, 2011 to May 18, 2022 · Cedar Rapids, Ia
- C•••••• F•••••••• S•••••••• I••• formerSep 1, 2005 to Jun 1, 2011 · Minot, Nd
- J•••• • L••••• A••••••• unclassifiedSep 8, 2004 to Sep 6, 2005 · Solon, Ia
- J•••• • L••••• A••••••• unclassifiedDec 19, 2003 to Sep 8, 2004 · Brentwood, Tn
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- C•••••• F•••••••• S•••••••• I••• to C••• B•••••••• S•••••••• I•••left Jun 1, 2011, registered Jun 14, 2011 (13 days) · Other
- J•••• • L••••• A••••••• to C•••••• F•••••••• S•••••••• I•••left Sep 6, 2005, registered Sep 1, 2005 (-5 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address