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.
F•••••• E••• D•••••
- A•••••• P••••••• P•••••••• I••• BD affiliated currentsince Feb 25, 2013 · Dubuque, Ia
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 14, 2009 to Feb 27, 2013 · Omaha, Ne
- T• A••••••••• I••• formerAug 14, 2009 to Feb 27, 2013 · Omaha, Ne
- G••••• P•••••••• S••••••••• I••• formerOct 23, 2006 to Jan 27, 2009 · Dubuque, Ia
- P••••••••• R••••••••• B•••••••• S•••••••• I••• unclassifiedOct 24, 2003 to Apr 30, 2005 · Dubuque, Ia
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 27, 2013, registered Aug 14, 2009 (-1293 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 27, 2013, registered Aug 14, 2009 (-1293 days) · Other
- G••••• P•••••••• S••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 27, 2009, registered Aug 14, 2009 (199 days) · Other
- P••••••••• R••••••••• B•••••••• S•••••••• I••• to G••••• P•••••••• S••••••••• I•••left Apr 30, 2005, registered Oct 23, 2006 (541 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address