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••• L•• BD affiliated currentsince Aug 31, 2022 · Rock Valley, Ia
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 10, 2015 to Sep 12, 2022 · Pella, Ia
- I••••••••• A••••••• C••• formerApr 16, 2013 to Nov 9, 2015 · Pella, Ia
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 8, 2008 to Apr 17, 2013 · Des Moines, Ia
- U••• B•••••• I••••••••• I••• formerSep 28, 2006 to Feb 12, 2008 · Mount Ayr, Ia
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••• L••left Sep 12, 2022, registered Aug 31, 2022 (-12 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••••••• A••••••• C••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 9, 2015, registered Nov 10, 2015 (1 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• A••••••• C•••left Apr 17, 2013, registered Apr 16, 2013 (-1 days) · Other
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 12, 2008, registered Feb 8, 2008 (-4 days) · Other
- S••••• V••••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C••• L•• (registered 2022-08-31)Sep 12, 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