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.
S•••••• P•••••• B••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Jul 24, 2020 · Palmetto, Fl
- N••••••••• S••••••••• L•• no RAUMJan 5, 2017 to Jun 24, 2020 · Coral Springs, Fl
- N••••••••• S••••••••• L•• no RAUMAug 1, 2008 to Nov 6, 2015 · West Des Moines, Ia
- 1••• C•••••• M••••••••• C•••••• unclassifiedSep 16, 2003 to Aug 1, 2008 · West Des Moines, Ia
- E•••••••• A•••••••• L•• national BDSep 27, 2001 to Sep 16, 2003 · West Des Moines, Ia
- N••••••••• S••••••••• L•• to I•••••••• A•••••••• L••left Jun 24, 2020, registered Jul 24, 2020 (30 days) · Other
- 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to 1••• C•••••• M••••••••• C••••••left Sep 16, 2003, registered Sep 16, 2003 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address