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.
N•••••••• L•••• R•••••
- C••••••••• W•••••• L•• independent RIA currentsince Oct 18, 2021 · Overland Park, Ks
- I•••••••• A•••••••• L•• BD affiliatedJan 3, 2017 to Oct 19, 2021 · Urbandale, Ia
- I••••••••• A••••••• C••• formerNov 22, 2013 to Dec 31, 2016 · West Des Moines, Ia
- F•••• H•••••••• C••••••••• I••• BD affiliatedJan 4, 2013 to Nov 20, 2013 · Windsor Heights, Ia
- I•••••••• A•••••••• L•• to C••••••••• W•••••• L••left Oct 19, 2021, registered Oct 18, 2021 (-1 days) · RIA to RIA · moved with a team
- I••••••••• A••••••• C••• to I•••••••• A•••••••• L••left Dec 31, 2016, registered Jan 3, 2017 (3 days) · Other
- F•••• H•••••••• C••••••••• I••• to I••••••••• A••••••• C•••left Nov 20, 2013, registered Nov 22, 2013 (2 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address