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•••• C•••••••••
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliated currentsince Jan 5, 2015 · Cedar Rapids, Ia
- B•• P•••••••• I••• BD affiliated currentsince Sep 20, 2012 · Cedar Rapids, Ia
- S••••••• F•••••••• S•••••••• I••• formerJan 12, 2009 to Sep 18, 2012 · Cedar Rapids, Ia
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 31, 2008 to Dec 31, 2008 · Cedar Rapids, Ia
- S••••••• F•••••••• S•••••••• I••• to B•• P•••••••• I•••left Sep 18, 2012, registered Sep 20, 2012 (2 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Dec 31, 2008, registered Jan 12, 2009 (12 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