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.
D••••• M•••• D••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince May 28, 2025 · West Des Moines, Ia
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedNov 18, 2021 to May 1, 2025 · Johns Creek, Ga
- C••••• A•••••• N••••••• L•• formerJun 9, 2021 to Oct 22, 2021 · El Segundo, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedSep 12, 2013 to Jun 9, 2021 · Windsor, Ct
- I•••••••• A•••••••• L•• BD affiliatedApr 5, 2011 to Sep 3, 2013 · Panora, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedMay 25, 2005 to Apr 4, 2011 · Des Moines, Ia
- P•••••••• S••••••••• I••• BD affiliatedFeb 4, 2005 to May 12, 2005 · Des Moines, Ia
- T••••••••• F•••••••• A•••••••• L•• to C••••• I••••••••• A••••••• L••left May 1, 2025, registered May 28, 2025 (27 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Oct 22, 2021, registered Nov 18, 2021 (27 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- I•••••••• A•••••••• L•• to V••• F•••••••• A•••••••• I•••left Sep 3, 2013, registered Sep 12, 2013 (9 days) · Other
- V••• F•••••••• A•••••••• I••• to I•••••••• A•••••••• L••left Apr 4, 2011, registered Apr 5, 2011 (1 days) · Other
- P•••••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left May 12, 2005, registered May 25, 2005 (13 days) · Other
- D••••• M•••• D•••••••• left T••••••••• F•••••••• A•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-05-28)May 1, 2025 · a•••••• firm change · 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