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.
K•••• J•••• G•••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Feb 14, 2011 · Urbandale, Ia
- N•• A•••••••• I••• unclassifiedFeb 29, 2008 to Dec 1, 2010 · West Des Moines, Ia
- N•• F••••••••• I••• unclassifiedAug 1, 2006 to Oct 16, 2008 · Bryan, Oh
- A•••••• P••••••• P•••••••• I••• BD affiliatedJan 1, 1999 to Jul 31, 2006 · Des Moines, Ia
- N•• A•••••••• I••• to I••••••••• F•••••••• P•••••••left Dec 1, 2010, registered Feb 14, 2011 (75 days) · corporate re-registration, not a move
- N•• F••••••••• I••• to N•• A•••••••• I•••left Oct 16, 2008, registered Feb 29, 2008 (-230 days) · corporate re-registration, not a move
- A•••••• P••••••• P•••••••• I••• to N•• F••••••••• I•••left Jul 31, 2006, registered Aug 1, 2006 (1 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address