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.
B•••• S•••• M•••••••
- N•••••• W••••• M••••••••• independent RIA currentsince Feb 20, 2026 · Dubuque, Ia
- C•••••• C•••••• G••••• I••• mixed wealthSep 10, 2024 to May 14, 2025 · Edina, Mn
- L•• F•••••••• L•• BD affiliatedMay 1, 2019 to Sep 20, 2024 · Farley, Ia
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 1, 2017 to Apr 30, 2019 · Dubuque, Ia
- A•••••••• M••••••••• formerDec 8, 2015 to Apr 13, 2016 · Dubuque, Ia
- L•• F•••••••• L•• BD affiliatedSep 17, 2015 to Dec 9, 2015 · Dubuque, Ia
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Aug 21, 2015 · Dubuque, Ia
- C••••• I••••••••• S••••••• L•• formerOct 14, 2011 to Jan 21, 2014 · Dubuque, Ia
- G••••• P•••••••• S••••••••• I••• formerOct 4, 2007 to Nov 11, 2009 · Dubuque, Ia
- C•••••• C•••••• G••••• I••• to N•••••• W••••• M•••••••••left May 14, 2025, registered Feb 20, 2026 (282 days) · RIA to RIA
- L•• F•••••••• L•• to C•••••• C•••••• G••••• I•••left Sep 20, 2024, registered Sep 10, 2024 (-10 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Apr 30, 2019, registered May 1, 2019 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- A•••••••• M••••••••• to C••••• I••••••••• A••••••• L••left Apr 13, 2016, registered May 1, 2017 (383 days) · Other
- L•• F•••••••• L•• to A•••••••• M•••••••••left Dec 9, 2015, registered Dec 8, 2015 (-1 days) · Other
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Aug 21, 2015, registered Sep 17, 2015 (27 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- G••••• P•••••••• S••••••••• I••• to C••••• I••••••••• S••••••• L••left Nov 11, 2009, registered Oct 14, 2011 (702 days) · Other
- B•••• S•••• M••••••• added a WI registration at N•••••• W••••• M•••••••••Sep 15, 2026 · New state registration · fact
- B•••• S•••• M••••••• left C•••••• C•••••• G••••• I••• for N•••••• W••••• M••••••••• (registered 2026-02-20)May 14, 2025 · Advisor changed firm · fact
- B•••• S•••• M••••••• left L•• F•••••••• L•• for C•••••• C•••••• G••••• I••• (registered 2024-09-10)Sep 20, 2024 · Advisor changed firm · fact
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