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.
C•••• A• H•••••
- F•• W••••• M••••••••• L•• BD affiliated currentsince Mar 22, 2019 · West Des Moines, Ia
- F•• I••••••••• M••••••••• S•••••••• I••• formerJan 3, 2017 to Feb 8, 2019 · West Des Moines, Ia
- C•••••• T•••• B••• unclassifiedApr 13, 2005 to Jul 27, 2007 · Bloomington, Il
- F•• I••••••••• M••••••••• S•••••••• I••• to F•• W••••• M••••••••• L••left Feb 8, 2019, registered Mar 22, 2019 (42 days) · channel change inside one enterprise, not a move · moved with a team
- C•••••• T•••• B••• to F•• I••••••••• M••••••••• S•••••••• I•••left Jul 27, 2007, registered Jan 3, 2017 (3448 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address