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.
C••• C• B••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Dec 10, 2021 · Des Moines, Ia
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedOct 15, 2021 to Dec 3, 2021 · Columbus, Oh
- U••• B•••••• I••••••••• I••• formerSep 20, 2017 to Oct 6, 2021 · Sioux City, Ia
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedMar 2, 2016 to Nov 18, 2016 · Sioux City, Ia
- N••••••••• I••••••••• A•••••••• L•• to P•••••••• S••••••••• I•••left Dec 3, 2021, registered Dec 10, 2021 (7 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• I••••••••• I••• to N••••••••• I••••••••• A•••••••• L••left Oct 6, 2021, registered Oct 15, 2021 (9 days) · Affiliated broker-dealer or bank to another
- T••••••••• R••••••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left Nov 18, 2016, registered Sep 20, 2017 (306 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address