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.
A•••• J••••• P•••••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Jul 12, 2016 · Urbandale, Ia
- V•• A••••••• S••••••• formerSep 9, 2014 to Jul 12, 2016 · Johnston, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 1, 2004 to Sep 9, 2014 · Cedar Rapids, Ia
- L••••• S••••• S••••••••• I••• unclassifiedAug 12, 2003 to Jan 1, 2004 · W Des Moines, Ia
- P•••••••• S••••••••• I••• BD affiliatedAug 17, 2001 to Aug 8, 2003 · West Des Moines, Ia
- V•• A••••••• S••••••• to I•••••••• A•••••••• L••left Jul 12, 2016, registered Jul 12, 2016 (0 days) · Other
- V••• F•••••••• A•••••••• I••• to V•• A••••••• S•••••••left Sep 9, 2014, registered Sep 9, 2014 (0 days) · Other
- L••••• S••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to L••••• S••••• S••••••••• I•••left Aug 8, 2003, registered Aug 12, 2003 (4 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