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.
D•••••• M•••• L•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 20, 2025 · Omaha, Ne
- C•••••••• F•••••••• G•••• A••••••• formerSep 30, 2020 to Feb 20, 2025 · Onawa, Ia
- A•••••• P••••••• P•••••••• I••• BD affiliatedJan 2, 2013 to Oct 7, 2020 · Onawa, Ia
- A•••••• P••••••• P•••••••• I••• BD affiliatedFeb 10, 2006 to Dec 31, 2012 · Onawa, Ia
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 17, 2004 to Feb 7, 2006 · Omaha, Ne
- E•••••• F•••• M••••••••• L•• unclassifiedSep 12, 2000 to May 19, 2004 · Omaha, Ne
- E•••••• I••••••••• M••••••••• L•• unclassifiedJul 21, 2000 to May 19, 2004 · Omaha, Ne
- C•••••••• F•••••••• G•••• A••••••• to C••••• I••••••••• A••••••• L••left Feb 20, 2025, registered Feb 20, 2025 (0 days) · corporate re-registration, not a move
- A•••••• P••••••• P•••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Oct 7, 2020, registered Sep 30, 2020 (-7 days) · RIA to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to A•••••• P••••••• P•••••••• I•••left Feb 7, 2006, registered Feb 10, 2006 (3 days) · Other
- E•••••• I••••••••• M••••••••• L•• to E•••••• F•••• M••••••••• L••left May 19, 2004, registered Sep 12, 2000 (-1345 days) · Other
- E•••••• F•••• M••••••••• L•• to C•••••••• G••••• M•••••• I•••left May 19, 2004, registered Aug 17, 2004 (90 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