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.
E••• L•• D••••
- C••••••••• S••••••••• L•• BD affiliated currentsince Sep 30, 2011 · Jefferson City, Mo
- I••••••••• A••••••• C••• formerJan 8, 2007 to Oct 3, 2011 · Johnston, Ia
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMar 10, 2006 to Dec 31, 2006 · Jefferson City, Mo
- I••••••••• A••••••• C••• to C••••••••• S••••••••• L••left Oct 3, 2011, registered Sep 30, 2011 (-3 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to I••••••••• A••••••• C•••left Dec 31, 2006, registered Jan 8, 2007 (8 days) · Other
- E••• L•• D•••• added a CA registration at C••••••••• S••••••••• L••Sep 16, 2026 · New state registration · 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address