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.
T••••• M•••••• W••••
- F•• W••••• M••••••••• L•• BD affiliated currentsince Dec 12, 2024 · West Des Moines, Ia
- T••••••• I••••••••• M••••••••• I••• BD affiliatedSep 24, 2014 to Oct 14, 2016 · Loveland, Co
- F•• I••••••••• M••••••••• S•••••••• I••• formerJun 15, 2012 to Jul 23, 2014 · West Des Moines, Ia
- T••••••• I••••••••• M••••••••• I••• to F•• W••••• M••••••••• L••left Oct 14, 2016, registered Dec 12, 2024 (2981 days) · Other
- F•• I••••••••• M••••••••• S•••••••• I••• to T••••••• I••••••••• M••••••••• I•••left Jul 23, 2014, registered Sep 24, 2014 (63 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address