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.
W••• M•••••• J••••••
- S•••••••• A•••• M••••••••• L••• independent RIA currentsince Jan 4, 2021 · Iowa City, Ia
- S••• C•••••• I••• independent RIAMar 13, 2020 to Dec 31, 2020 · Cascade, Ia
- R•• F•••••••• N•••••• independent RIAOct 3, 2017 to Aug 29, 2019 · Akron, Ia
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedSep 29, 2015 to Apr 7, 2016 · Cedar Rapids, Ia
- A•••••••• M••••••••• formerNov 28, 2007 to Sep 8, 2015 · Dubuque, Ia
- P••••••••• R••••••••• B•••••••• S•••••••• I••• unclassifiedJul 2, 2003 to Dec 3, 2004 · Dubuque, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDMar 20, 2002 to Jun 5, 2003 · Cedar Rapids, Ia
- S••• C•••••• I••• to S•••••••• A•••• M••••••••• L•••left Dec 31, 2020, registered Jan 4, 2021 (4 days) · RIA to RIA
- R•• F•••••••• N•••••• to S••• C•••••• I•••left Aug 29, 2019, registered Mar 13, 2020 (197 days) · RIA to RIA
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to R•• F•••••••• N••••••left Apr 7, 2016, registered Oct 3, 2017 (544 days) · Other
- A•••••••• M••••••••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Sep 8, 2015, registered Sep 29, 2015 (21 days) · Other
- P••••••••• R••••••••• B•••••••• S•••••••• I••• to A•••••••• M•••••••••left Dec 3, 2004, registered Nov 28, 2007 (1090 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P••••••••• R••••••••• B•••••••• S•••••••• I•••left Jun 5, 2003, registered Jul 2, 2003 (27 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address