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•••• A•• W•••
- A••• I••••• A••••••• independent RIA currentsince Nov 30, 2021 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedOct 18, 2016 to Nov 13, 2020 · Cedar Falls, Ia
- A•••• W••••• M••••••••• formerJun 30, 2016 to Sep 26, 2016 · Cedar Falls, Ia
- R•• F•••••••• N•••••• independent RIAFeb 16, 2010 to Sep 30, 2016 · Cedar Falls, Ia
- N••••••• A••••••• formerJun 9, 2009 to Mar 29, 2012 · Waterloo, Ia
- A•••••••• I••••••••• M••••••••• L•• formerJun 2, 2009 to Mar 3, 2010 · Waterloo, Ia
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 7, 2009 to Feb 12, 2010 · Waterloo, Ia
- C••• B•••••••• S•••••••• I••• formerDec 5, 2006 to Oct 20, 2008 · Waverly, Ia
- A••••• A•• P••••••• S••••••• to A••• I••••• A•••••••left Nov 13, 2020, registered Nov 30, 2021 (382 days) · Affiliated broker-dealer or bank to independent RIA
- R•• F•••••••• N•••••• to A•••• W••••• M•••••••••left Sep 30, 2016, registered Jun 30, 2016 (-92 days) · Other · moved with a team
- A•••• W••••• M••••••••• to A••••• A•• P••••••• S•••••••left Sep 26, 2016, registered Oct 18, 2016 (22 days) · Other
- N••••••• A••••••• to R•• F•••••••• N••••••left Mar 29, 2012, registered Feb 16, 2010 (-772 days) · Other
- A•••••••• I••••••••• M••••••••• L•• to N••••••• A•••••••left Mar 3, 2010, registered Jun 9, 2009 (-267 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A•••••••• I••••••••• M••••••••• L••left Feb 12, 2010, registered Jun 2, 2009 (-255 days) · Other
- C••• B•••••••• S•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Oct 20, 2008, registered May 7, 2009 (199 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address