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.
R••• J•••• B•••••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Sep 3, 2019 · Waterloo, Ia
- N••••••• A••••••• former currentsince Mar 29, 2007 · Waterloo, Ia
- A•••••••• I••••••••• M••••••••• L•• formerDec 1, 2008 to Dec 31, 2019 · Waterloo, Ia
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 31, 2007 to Jul 31, 2012 · Waterloo, Ia
- A•••••••• I••••••••• M••••••••• L•• to P•••••• A•••••• G••••• L••left Dec 31, 2019, registered Sep 3, 2019 (-119 days) · RIA to RIA · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to N••••••• A•••••••left Jul 31, 2012, registered Mar 29, 2007 (-1951 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
- Former SEC-registered adviserderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address