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••••• G•••••
- A•••• W••••• M••••••••• independent RIA currentsince Mar 19, 2019 · Cedar Rapids, Ia
- A••••••• A••••••• S••••••• formerMay 1, 2013 to Mar 21, 2019 · Cedar Rapids, Ia
- H•••••• W••••• M••••••••• formerOct 24, 2012 to Feb 22, 2013 · Coralville, Ia
- S•• I••••••••• I••• formerAug 2, 2012 to Oct 26, 2012 · Coralville, Ia
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Jul 30, 2012 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDJan 4, 2007 to Dec 31, 2011 · Phoenix, Az
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedApr 25, 2001 to Feb 10, 2005 · Tampa, Fl
- A••••••• A••••••• S••••••• to A•••• W••••• M•••••••••left Mar 21, 2019, registered Mar 19, 2019 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- H•••••• W••••• M••••••••• to A••••••• A••••••• S•••••••left Feb 22, 2013, registered May 1, 2013 (68 days) · Other
- S•• I••••••••• I••• to H•••••• W••••• M•••••••••left Oct 26, 2012, registered Oct 24, 2012 (-2 days) · Other
- S••••• W••••• A•••••••• I••• to S•• I••••••••• I•••left Jul 30, 2012, registered Aug 2, 2012 (3 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
- T• R••• P•••• A••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Feb 10, 2005, registered Jan 4, 2007 (693 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address