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.
P••••••• A••• S•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 27, 2022 · Davenport, Ia
- W•••• F•••• A••••••• wirehouseMay 25, 2021 to Apr 27, 2022 · Madison, Wi
- S•••••• W••••• P•••••••• L•• BD affiliatedMar 1, 2021 to May 12, 2021 · Clinton, Ia
- W•••• F•••• A••••••• wirehouseApr 23, 2018 to Jan 5, 2021 · Davenport, Ia
- M••••• S•••••• wirehouseMay 27, 2016 to Apr 23, 2018 · Davenport, Ia
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to May 17, 2016 · Davenport, Ia
- W•••• F•••• I••••••••• L•• unclassifiedFeb 27, 2007 to Jan 3, 2011 · Davenport, Ia
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Apr 27, 2022, registered Apr 27, 2022 (0 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••• W••••• P•••••••• L•• to W•••• F•••• A•••••••left May 12, 2021, registered May 25, 2021 (13 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to S•••••• W••••• P•••••••• L••left Jan 5, 2021, registered Mar 1, 2021 (55 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Apr 23, 2018, registered Apr 23, 2018 (0 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M••••• S••••••left May 17, 2016, registered May 27, 2016 (10 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- P••••••• A••• S••••••• left W•••• F•••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2022-04-27)Apr 27, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address