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.
S•••• M•••• B•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 15, 2018 · Fairfield, Ia
- B•• P•••••••• I••• BD affiliatedOct 12, 2018 to Nov 2, 2018 · Cedar Rapids, Ia
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedOct 30, 2007 to Nov 2, 2018 · Elkton, Ky
- V•• A••••••• S••••••• formerMay 2, 2006 to Oct 30, 2007 · Des Moines, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDAug 13, 2004 to May 3, 2006 · West Des Moines, Ia
- B•• P•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 2, 2018, registered Nov 15, 2018 (13 days) · Affiliated broker-dealer or bank to another
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to B•• P•••••••• I•••left Nov 2, 2018, registered Oct 12, 2018 (-21 days) · Affiliated broker-dealer or bank to another
- V•• A••••••• S••••••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Oct 30, 2007, registered Oct 30, 2007 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V•• A••••••• S•••••••left May 3, 2006, registered May 2, 2006 (-1 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