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.
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- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 10, 2017 · Clear Lake, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDJun 2, 2017 to Jun 7, 2017 · Ames, Ia
- A••••• A•• P••••••• S••••••• BD affiliatedJun 12, 2009 to Jun 23, 2017 · Ames, Ia
- A••••••• A••••••• S••••••• formerFeb 23, 2006 to Jun 24, 2009 · Ames, Ia
- W•••• F•••• I••••••••• L•• unclassifiedAug 6, 2001 to Feb 8, 2006 · Ames, Ia
- A••••• A•• P••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 23, 2017, registered Jun 2, 2017 (-21 days) · Other
- A••••••• A••••••• S••••••• to A••••• A•• P••••••• S•••••••left Jun 24, 2009, registered Jun 12, 2009 (-12 days) · Other
- W•••• F•••• I••••••••• L•• to A••••••• A••••••• S•••••••left Feb 8, 2006, registered Feb 23, 2006 (15 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address