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•••• W•••• S•••
- B•• C•••••• P•••••••• L•• independent RIA currentsince Oct 7, 2016 · West Des Moines, Ia
- R•• F•••••••• N•••••• independent RIAFeb 22, 2012 to Dec 6, 2017 · West Des Moines, Ia
- V•• A••••••• S••••••• formerMay 3, 2010 to Feb 21, 2012 · Overland Park, Ks
- L•• F•••••••• L•• BD affiliatedJun 2, 2009 to Jun 7, 2010 · Plymouth, Mn
- R•• F•••••••• N•••••• independent RIAFeb 5, 2009 to Apr 2, 2009 · Windsor Heights, Ia
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Apr 16, 2009 · West Des Moines, Ia
- C•••••••• I••••••••• R•••••••• I••• unclassifiedOct 4, 2002 to Mar 28, 2005 · West Des Moines, Ia
- S••••••••• R••••••• M••••••••• L••• state registeredMay 15, 2001 to Oct 4, 2002 · Des Moines, Ia
- R•• F•••••••• N•••••• to B•• C•••••• P•••••••• L••left Dec 6, 2017, registered Oct 7, 2016 (-425 days) · Other
- V•• A••••••• S••••••• to R•• F•••••••• N••••••left Feb 21, 2012, registered Feb 22, 2012 (1 days) · Other
- L•• F•••••••• L•• to V•• A••••••• S•••••••left Jun 7, 2010, registered May 3, 2010 (-35 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to R•• F•••••••• N••••••left Apr 16, 2009, registered Feb 5, 2009 (-70 days) · Other
- R•• F•••••••• N•••••• to L•• F•••••••• L••left Apr 2, 2009, registered Jun 2, 2009 (61 days) · Other
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2005, registered Mar 28, 2005 (0 days) · corporate re-registration, not a move
- S••••••••• R••••••• M••••••••• L••• to C•••••••• I••••••••• R•••••••• I•••left Oct 4, 2002, registered Oct 4, 2002 (0 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address