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•••• D••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 7, 2021 · Des Moines, Ia
- V••• F•••••••• P•••••••• L•• formerJun 24, 2010 to Feb 15, 2011 · Windsor, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 15, 2007 to Jun 15, 2021 · Windsor, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDSep 15, 2003 to Jun 6, 2005 · W Des Moines, Ia
- V••• F•••••••• A•••••••• I••• to V••• F•••••••• P•••••••• L••left Jun 15, 2021, registered Jun 24, 2010 (-4009 days) · Other
- V••• F•••••••• P•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 15, 2011, registered Sep 7, 2021 (3857 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jun 6, 2005, registered Mar 15, 2007 (647 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address