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••• C•••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Mar 4, 2025 · West Des Moines, Ia
- A••••• A•• P••••••• S••••••• BD affiliatedJul 17, 2018 to Jul 3, 2024 · Ames, Ia
- P•••••••• S••••••••• I••• BD affiliatedOct 6, 2014 to Jun 12, 2018 · Des Moines, Ia
- A••••• A•• P••••••• S••••••• to W••••• E••••••••• A••••••• S•••••••• L••left Jul 3, 2024, registered Mar 4, 2025 (244 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to A••••• A•• P••••••• S•••••••left Jun 12, 2018, registered Jul 17, 2018 (35 days) · Affiliated broker-dealer or bank to another
- C••• C••• left A••••• A•• P••••••• S••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-03-04)Jul 3, 2024 · 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
- 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