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.
J•••••• A••• H•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 12, 2025 · Dixon, Il
- B•• P•••••••• I••• BD affiliatedMay 13, 2016 to Sep 16, 2025 · Dixon, Il
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 11, 2011 to Nov 24, 2015 · Cedar Rapids, Ia
- B•• P•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 16, 2025, registered Sep 12, 2025 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- V••• F•••••••• A•••••••• I••• to B•• P•••••••• I•••left Nov 24, 2015, registered May 13, 2016 (171 days) · Other
- J•••••• A••• H••• left B•• P•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-09-12)Sep 16, 2025 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address