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•••••• J•••• H••••••
- M•• F•••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2006 · Rock Island, Il
- N•• E•••••• S••••••••• C••••••••• formerNov 14, 2003 to Feb 27, 2004 · West Des Moines, Ia
- W•••••• • R••• formerNov 6, 2002 to Aug 5, 2003 · Davenport, Ia
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Feb 27, 2004, registered Feb 17, 2006 (721 days) · Other
- W•••••• • R••• to N•• E•••••• S••••••••• C•••••••••left Aug 5, 2003, registered Nov 14, 2003 (101 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address