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.
R•••• P••• R••••
- L•• W••••• M••••••••• independent RIA currentsince Dec 19, 2024 · Ankeny, Ia
- U••• B•••••• I••••••••• I••• formerMay 24, 2022 to Jan 7, 2025 · Sioux Falls, Sd
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 23, 2017 to Jun 3, 2022 · Marshalltown, Ia
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 25, 2015 to Jun 13, 2017 · Marshalltown, Ia
- W•••• F•••• A••••••• wirehouseApr 29, 2011 to Aug 26, 2015 · Ames, Ia
- E••••• J•••• national BDMar 6, 2007 to May 6, 2011 · Marshalltown, Ia
- U••• B•••••• I••••••••• I••• to L•• W••••• M•••••••••left Jan 7, 2025, registered Dec 19, 2024 (-19 days) · Affiliated broker-dealer or bank to independent RIA
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U••• B•••••• I••••••••• I•••left Jun 3, 2022, registered May 24, 2022 (-10 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 13, 2017, registered Jun 23, 2017 (10 days) · Other
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Aug 26, 2015, registered Aug 25, 2015 (-1 days) · Other
- E••••• J•••• to W•••• F•••• A•••••••left May 6, 2011, registered Apr 29, 2011 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- R•••• P••• R•••• left U••• B•••••• I••••••••• I••• for L•• W••••• M••••••••• (registered 2024-12-19)Jan 7, 2025 · Advisor changed firm · fact
- R•••• P••• R•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for U••• B•••••• I••••••••• I••• (registered 2022-05-24)Jun 3, 2022 · Advisor changed firm · 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
- Independent wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address