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.
J••• T••••• P•••
- R•• A••••••• G••••• L•• independent RIA currentsince Sep 4, 2012 · The Villages, Fl
- A•••••• B••• O••••• T••••••••• L•• unclassifiedMar 23, 2016 to Dec 31, 2016 · Des Moines, Ia
- E• A••••••• L•• unclassifiedJul 1, 2011 to Dec 31, 2012 · Clive, Ia
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedMay 13, 2008 to Jul 1, 2011 · Clive, Ia
- S••••••••• R••••••• M••••••••• L••• state registeredNov 6, 2006 to Jul 2, 2008 · J•••Ston, Ia
- A•••••• B••• O••••• T••••••••• L•• to no registered destinationleft Dec 31, 2016 · Departure, no registered destination
- E• A••••••• L•• to R•• A••••••• G••••• L••left Dec 31, 2012, registered Sep 4, 2012 (-118 days) · Other
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to E• A••••••• L••left Jul 1, 2011, registered Jul 1, 2011 (0 days) · Other
- S••••••••• R••••••• M••••••••• L••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Jul 2, 2008, registered May 13, 2008 (-50 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address