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.
V•••••• P••• S••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 2, 2020 · Urbandale, Ia
- B•• P•••••••• I••• BD affiliatedSep 22, 2016 to Sep 30, 2020 · Perry, Ia
- B•••••••• L•• independent RIAJan 22, 2016 to Aug 26, 2016 · Perra, Ia
- S••••••••• R••••••• M••••••••• L••• state registeredJul 20, 2011 to Feb 24, 2016 · Johnston, Ia
- S••••••••• A•••••• A•••••••• I••• formerJan 22, 2009 to Mar 2, 2011 · La Vista, Ne
- W•••••• S••••••••• C••••••••• unclassifiedJan 2, 2008 to Jan 8, 2009 · Des Moines, Ia
- W•••••• • R••• formerJan 1, 1999 to Mar 21, 2007 · Norwalk, Ia
- B•• P•••••••• I••• to K••••• A••••••• S•••••••• L••left Sep 30, 2020, registered Oct 2, 2020 (2 days) · Affiliated broker-dealer or bank to another
- B•••••••• L•• to B•• P•••••••• I•••left Aug 26, 2016, registered Sep 22, 2016 (27 days) · Other
- S••••••••• R••••••• M••••••••• L••• to B•••••••• L••left Feb 24, 2016, registered Jan 22, 2016 (-33 days) · Other
- S••••••••• A•••••• A•••••••• I••• to S••••••••• R••••••• M••••••••• L•••left Mar 2, 2011, registered Jul 20, 2011 (140 days) · Other
- W•••••• S••••••••• C••••••••• to S••••••••• A•••••• A•••••••• I•••left Jan 8, 2009, registered Jan 22, 2009 (14 days) · Other
- W•••••• • R••• to W•••••• S••••••••• C•••••••••left Mar 21, 2007, registered Jan 2, 2008 (287 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address