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•••••••• L••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 5, 2023 · Des Moines, Ia
- S••••••••• A•••••• A•••••••• I••• formerJan 22, 2013 to Dec 12, 2023 · West Des Moines, Ia
- H••••••••• G•••• F•••••••• A•••••••• L•• formerJul 19, 2010 to Jan 18, 2013 · Van Meter, Ia
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Dec 12, 2023, registered Dec 5, 2023 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- H••••••••• G•••• F•••••••• A•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jan 18, 2013, registered Jan 22, 2013 (4 days) · Other
- S•••••••• L••• B••••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2023-12-05)Dec 12, 2023 · 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
- 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