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•••• E••••• W•••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 2, 2018 · Runnells, Ia
- B•••••••• L•• independent RIASep 21, 2015 to Dec 31, 2017 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseJun 27, 2011 to Sep 22, 2015 · West Des Moines, Ia
- C•••••• S••••• • C••• I••• national BDOct 27, 2008 to Jun 20, 2011 · Omaha, Ne
- E••••• J•••• national BDSep 17, 2007 to Oct 8, 2008 · St Louis, Mo
- P•••••••• S••••••••• I••• BD affiliatedJul 11, 2006 to Sep 10, 2007 · Des Moines, Ia
- B•••••••• L•• to L•• F•••••••• L••left Dec 31, 2017, registered May 2, 2018 (122 days) · RIA to RIA · moved with a team
- W•••• F•••• A••••••• to B•••••••• L••left Sep 22, 2015, registered Sep 21, 2015 (-1 days) · Other
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left Jun 20, 2011, registered Jun 27, 2011 (7 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to C•••••• S••••• • C••• I•••left Oct 8, 2008, registered Oct 27, 2008 (19 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to E••••• J••••left Sep 10, 2007, registered Sep 17, 2007 (7 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address