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.
J•••• B•••• S••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Sep 25, 2014 · Bettendorf, Ia
- I••••••••• C•••••• O• A••••••• I••• formerSep 19, 2008 to Sep 16, 2014 · Moline, Il
- T••••••• I••••••••• M••••••••• I••• BD affiliatedNov 30, 2007 to Sep 22, 2008 · Davenport, Ia
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedApr 4, 2006 to Nov 28, 2007 · Bettendorf, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDAug 6, 2004 to Apr 10, 2006 · Davenport, Ia
- I••••••••• C•••••• O• A••••••• I••• to P•••••••• S••••••••• I•••left Sep 16, 2014, registered Sep 25, 2014 (9 days) · Other
- T••••••• I••••••••• M••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Sep 22, 2008, registered Sep 19, 2008 (-3 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to T••••••• I••••••••• M••••••••• I•••left Nov 28, 2007, registered Nov 30, 2007 (2 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Apr 10, 2006, registered Apr 4, 2006 (-6 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