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.
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C•••••• J••••• S••••••••
- O•••• W•••••• I••• BD affiliated currentsince Jul 8, 2026 · Cedar Rapids, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 25, 2022 to Jul 20, 2026 · Cedar Rapids, Ia
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Mar 1, 2022 · Cedar Rapids, Ia
- S••••••• I••••••••• I••• formerJul 7, 2016 to Nov 2, 2018 · Cedar Rapids, Ia
- A••••••• A••••••• S••••••• formerJan 14, 2008 to Jul 8, 2016 · Lincoln, Ne
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 21, 2006 to Jan 3, 2008 · Cedar Rapids, Ia
- A••••••••• F•••••••• S•••••••• L•• to O•••• W•••••• I•••left Jul 20, 2026, registered Jul 8, 2026 (-12 days) · Affiliated broker-dealer or bank to another · moved with a team
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 1, 2022, registered Feb 25, 2022 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- A••••••• A••••••• S••••••• to S••••••• I••••••••• I•••left Jul 8, 2016, registered Jul 7, 2016 (-1 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A••••••• A••••••• S•••••••left Jan 3, 2008, registered Jan 14, 2008 (11 days) · Other
- C•••••• J••••• S•••••••• left A••••••••• F•••••••• S•••••••• L•• for O•••• W•••••• I••• (registered 2026-07-08)Jul 20, 2026 · Advisor changed firm · fact
- C•••••• J••••• S•••••••• left O•••• W•••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-02-25)Mar 1, 2022 · Advisor changed firm · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address