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••• M•••• F•••••
- G•••• V••••• A•••••• G••••• L•• independent RIA currentsince Oct 17, 2024 · Atlantic, Ia
- P•••••••• S••••••••• I••• BD affiliatedSep 12, 2016 to Oct 28, 2024 · Atlantic, Ia
- W•••• F•••• A••••••• wirehouseDec 16, 2014 to Jun 8, 2016 · Urbandale, Ia
- P•••••••• S••••••••• I••• BD affiliatedAug 22, 2007 to Dec 5, 2014 · Des Moines, Ia
- W•••• F•••• I••••••••• L•• unclassifiedMay 30, 2006 to Aug 7, 2007 · West Des Moines, Ia
- P•••••••• S••••••••• I••• to G•••• V••••• A•••••• G••••• L••left Oct 28, 2024, registered Oct 17, 2024 (-11 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to P•••••••• S••••••••• I•••left Jun 8, 2016, registered Sep 12, 2016 (96 days) · Other
- P•••••••• S••••••••• I••• to W•••• F•••• A•••••••left Dec 5, 2014, registered Dec 16, 2014 (11 days) · Other
- W•••• F•••• I••••••••• L•• to P•••••••• S••••••••• I•••left Aug 7, 2007, registered Aug 22, 2007 (15 days) · Other
- E••• M•••• F••••• left P•••••••• S••••••••• I••• for G•••• V••••• A•••••• G••••• L•• (registered 2024-10-17)Oct 28, 2024 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address