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••• L•••• R••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 30, 2020 · Omaha, Ne
- S••••••• I••••••••• I••• formerFeb 13, 2017 to Mar 25, 2017 · Fort Dodge, Ia
- A••••••• A••••••• S••••••• formerSep 10, 2010 to Oct 19, 2020 · W Des Moines, Ia
- E••••• J•••• national BDNov 13, 2007 to Aug 27, 2010 · Story City, Ia
- A••••••• A••••••• S••••••• formerApr 11, 2007 to Dec 12, 2007 · W Des Moines, Ia
- A••••••• A••••••• S••••••• to S••••••• I••••••••• I•••left Oct 19, 2020, registered Feb 13, 2017 (-1344 days) · Other
- S••••••• I••••••••• I••• to L•• F•••••••• L••left Mar 25, 2017, registered Sep 30, 2020 (1285 days) · Other
- E••••• J•••• to A••••••• A••••••• S•••••••left Aug 27, 2010, registered Sep 10, 2010 (14 days) · Other
- A••••••• A••••••• S••••••• to E••••• J••••left Dec 12, 2007, registered Nov 13, 2007 (-29 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address