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.
D•••• L•••• R•••••
- I••••••••• I••••••••• S•••••••• I•• mixed wealth currentsince Jun 18, 2018 · Albert Lea, Mn
- S••••••••• A•••••• A•••••••• I••• formerApr 7, 2014 to Jun 15, 2018 · Pella, Ia
- E•••••••• A•••••••• L•• national BDOct 15, 2010 to Apr 10, 2014 · West Des Moines, Ia
- D••••••• S••••••• L•• formerNov 16, 2009 to Aug 2, 2010 · Des Moines, Ia
- S••••••••• A•••••• A•••••••• I••• to I••••••••• I••••••••• S•••••••• I••left Jun 15, 2018, registered Jun 18, 2018 (3 days) · Other
- E•••••••• A•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Apr 10, 2014, registered Apr 7, 2014 (-3 days) · Other
- D••••••• S••••••• L•• to E•••••••• A•••••••• L••left Aug 2, 2010, registered Oct 15, 2010 (74 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address