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.
M••• A••••• G••••••
- S•••••••• W••••• S••••••••• L•• state registered currentsince Aug 1, 2023 · Urbandale, Ia
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 30, 2021 to Jul 7, 2023 · Austin, Tx
- P•••••••• S••••••••• I••• BD affiliatedOct 12, 2011 to Apr 12, 2021 · West Des Moines, Ia
- L•• F•••••••• L•• BD affiliatedAug 19, 2011 to Oct 3, 2011 · West Des Moines, Ia
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 30, 2009 to Aug 16, 2011 · W Des Moines, Ia
- V•• A••••••• S••••••• formerJul 21, 2008 to Mar 5, 2009 · Des Moines, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDDec 21, 2007 to Jul 3, 2008 · Boone, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDJul 2, 2002 to Dec 19, 2007 · Boone, Ia
- K••••• A••••••• S•••••••• L•• to S•••••••• W••••• S••••••••• L••left Jul 7, 2023, registered Aug 1, 2023 (25 days) · Affiliated broker-dealer or bank to a state-registered adviser
- P•••••••• S••••••••• I••• to K••••• A••••••• S•••••••• L••left Apr 12, 2021, registered Apr 30, 2021 (18 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to P•••••••• S••••••••• I•••left Oct 3, 2011, registered Oct 12, 2011 (9 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••left Aug 16, 2011, registered Aug 19, 2011 (3 days) · Other
- V•• A••••••• S••••••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 5, 2009, registered Jun 30, 2009 (117 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V•• A••••••• S•••••••left Jul 3, 2008, registered Jul 21, 2008 (18 days) · Other
- M••• A••••• G•••••• left K••••• A••••••• S•••••••• L•• for S•••••••• W••••• S••••••••• L•• (registered 2023-08-01)Jul 7, 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address