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.
A••• C•••••• B••••••
- P•••••• W••••• P••••••• independent RIA currentsince Jun 5, 2017 · Clive, Ia
- H•• A•••••••• L•• formerApr 21, 2014 to Jan 20, 2017 · Des Moines, Ia
- U••• B•••••• I••••••••• I••• formerMar 16, 2011 to Apr 22, 2014 · West Des Moines, Ia
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 15, 2011 · Clive, Ia
- W•••• F•••• I••••••••• L•• unclassifiedMay 14, 2008 to Jan 3, 2011 · Des Moines, Ia
- C•••••• L•• independent RIAOct 27, 2006 to May 2, 2008 · Des Moines, Ia
- H•• A•••••••• L•• to P•••••• W••••• P•••••••left Jan 20, 2017, registered Jun 5, 2017 (136 days) · Other
- U••• B•••••• I••••••••• I••• to H•• A•••••••• L••left Apr 22, 2014, registered Apr 21, 2014 (-1 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Mar 15, 2011, registered Mar 16, 2011 (1 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C•••••• L•• to W•••• F•••• I••••••••• L••left May 2, 2008, registered May 14, 2008 (12 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address