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.
T••• C••••••••• D••••••••
- A•••• W••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2013 · West Des Moines, Ia
- C••••••• W••••• A•••••••• L•• formerNov 4, 2010 to Dec 17, 2012 · Johnston, Ia
- D••••• C•••••• M••••••••• formerNov 2, 2006 to Dec 17, 2012 · West Des Moines, Ia
- D••••• C•••••• M••••••••• to C••••••• W••••• A•••••••• L••left Dec 17, 2012, registered Nov 4, 2010 (-774 days) · Other
- C••••••• W••••• A•••••••• L•• to A•••• W••••• A•••••••• L••left Dec 17, 2012, registered Feb 13, 2013 (58 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