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••••••••• B••••••• S•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 27, 2026 · West Des Moines, Ia
- W•••• F•••• A••••••• wirehouseNov 14, 2017 to Aug 5, 2026 · West Des Moines, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Nov 15, 2017 · West Des Moines, Ia
- A••••••••• A•••••• S•••••••• I••• unclassifiedDec 15, 2008 to Oct 5, 2009 · West Des Moines, Ia
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Nov 6, 2008 · West Des Moines, Ia
- M••••• S•••••• D• I••• unclassifiedOct 12, 2004 to Apr 2, 2007 · West Des Moines, Ia
- W•••• F•••• A••••••• to L•• F•••••••• L••left Aug 5, 2026, registered Jul 27, 2026 (-9 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Nov 15, 2017, registered Nov 14, 2017 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to A••••••••• A•••••• S•••••••• I•••left Nov 6, 2008, registered Dec 15, 2008 (39 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C••••••••• B••••••• S••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2026-07-27)Aug 5, 2026 · a•••••• firm change · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address