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.
C••••••••• J•• I••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Sibley, Ia
- C•••••• L••••••••• C••••••• L•• state registered currentsince Jan 22, 2021 · Orange City, Ia
- C•••••• L••••••••• C••••••• L•• unclassifiedDec 15, 2020 to Feb 1, 2021 · Orange City, Ia
- M•••• C••••••• A••••••• S•••••• BD affiliatedNov 1, 2007 to Jun 16, 2009 · Sioux Center, Ia
- C••••• A•••••• N••••••• L•• formerAug 8, 2005 to Nov 8, 2007 · Sioux Center, Ia
- C•••••• L••••••••• C••••••• L•• to C•••••• L••••••••• C••••••• L••left Feb 1, 2021, registered Jan 22, 2021 (-10 days) · Other · moved with a team
- M•••• C••••••• A••••••• S•••••• to C•••••• L••••••••• C••••••• L••left Jun 16, 2009, registered Dec 15, 2020 (4200 days) · Other
- C••••• A•••••• N••••••• L•• to M•••• C••••••• A••••••• S••••••left Nov 8, 2007, registered Nov 1, 2007 (-7 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