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.
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G••• D•••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 8, 2022 · San Diego, Ca
- S•••••••• F••••••••• I••• formerDec 11, 2014 to Dec 10, 2022 · Marshalltown, Ia
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Nov 26, 2014 · Marshalltown, Ia
- C••••• I••••••••• S••••••• L•• formerJun 22, 2011 to Jan 21, 2014 · Marshalltown, Ia
- S••••••• C••••••• L•• unclassifiedApr 23, 2010 to Jun 28, 2011 · Marshalltown, Ia
- L•• F•••••••• L•• BD affiliatedMar 4, 2008 to May 11, 2010 · Ames, Ia
- I••• S••••••••• I••• unclassifiedAug 9, 2006 to Mar 4, 2008 · Fennimore, Wi
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Dec 10, 2022, registered Dec 8, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••••• I••••••••• A••••••• L•• to S•••••••• F••••••••• I•••left Nov 26, 2014, registered Dec 11, 2014 (15 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- S••••••• C••••••• L•• to C••••• I••••••••• S••••••• L••left Jun 28, 2011, registered Jun 22, 2011 (-6 days) · Other
- L•• F•••••••• L•• to S••••••• C••••••• L••left May 11, 2010, registered Apr 23, 2010 (-18 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left Mar 4, 2008, registered Mar 4, 2008 (0 days) · corporate re-registration, not a move
- G••• D•••• S•••••• left S•••••••• F••••••••• I••• for L•• F•••••••• L•• (registered 2022-12-08)Dec 10, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address