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••••• S••••
- B••••• C•••••• M••••••••• I••• mixed wealth currentsince Feb 3, 2022 · Dayton, Oh
- S•• BD affiliatedSep 23, 2013 to Nov 3, 2021 · West Des Moines, Ia
- P•••••••• S••••••••• I••• BD affiliatedApr 2, 2008 to Nov 1, 2011 · Des Moines, Ia
- S•• to B••••• C•••••• M••••••••• I•••left Nov 3, 2021, registered Feb 3, 2022 (92 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- P•••••••• S••••••••• I••• to S••left Nov 1, 2011, registered Sep 23, 2013 (692 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address