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.
J••••••• L••• P••
- R•• C•••••• M••••••• L•• national BD currentsince Mar 14, 2022 · New York, Ny
- U••• B•••••• I••••••••• I••• formerJun 13, 2019 to Mar 11, 2022 · Des Moines, Ia
- R•• C•••••• M••••••• L•• national BDNov 20, 2017 to Jun 12, 2019 · Clive, Ia
- U•• F•••••••• S••••••• I••• wirehouseApr 9, 2015 to Nov 29, 2017 · West Des Moines, Ia
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 10, 2013 to Mar 19, 2015 · W Des Moines, Ia
- U••• B•••••• I••••••••• I••• to R•• C•••••• M••••••• L••left Mar 11, 2022, registered Mar 14, 2022 (3 days) · Affiliated broker-dealer or bank to another
- R•• C•••••• M••••••• L•• to U••• B•••••• I••••••••• I•••left Jun 12, 2019, registered Jun 13, 2019 (1 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Nov 29, 2017, registered Nov 20, 2017 (-9 days) · Wirehouse to affiliated broker-dealer or bank
- N••••••••• M••••• I••••••••• S••••••••• to U•• F•••••••• S••••••• I•••left Mar 19, 2015, registered Apr 9, 2015 (21 days) · Other
- J••••••• L••• P•• left U••• B•••••• I••••••••• I••• for R•• C•••••• M••••••• L•• (registered 2022-03-14)Mar 11, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address