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.
T••••• S•••• N•••••
- F•• W••••• M••••••••• L•• BD affiliated currentsince Oct 23, 2023 · West Des Moines, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 8, 2012 to Jan 7, 2016 · Cedar Rapids, Ia
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedFeb 15, 2008 to Nov 2, 2012 · Des Moines, Ia
- C•••••• S••••• • C••• I••• national BDJun 6, 2005 to Dec 3, 2007 · West Des Moines, Ia
- N•• A•••••• S•••••••• L•• formerJul 1, 2004 to Jun 10, 2005 · Urbandale, Ia
- P••• A••••• S••••••••• L•• BD affiliatedDec 11, 2003 to Jul 9, 2004 · Des Moines, Ia
- V••• F•••••••• A•••••••• I••• to F•• W••••• M••••••••• L••left Jan 7, 2016, registered Oct 23, 2023 (2846 days) · Other
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••left Nov 2, 2012, registered Nov 8, 2012 (6 days) · Other
- C•••••• S••••• • C••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Dec 3, 2007, registered Feb 15, 2008 (74 days) · Other
- N•• A•••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Jun 10, 2005, registered Jun 6, 2005 (-4 days) · Other
- P••• A••••• S••••••••• L•• to N•• A•••••• S•••••••• L••left Jul 9, 2004, registered Jul 1, 2004 (-8 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address