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.
L••• M•••• N•••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 15, 2023 · West Des Moines, Ia
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 15, 2023 · West Des Moines, Ia
- W•••• F•••• I••••••••• L•• unclassifiedDec 3, 2010 to Jan 3, 2011 · Des Moines, Ia
- C••••••• W••••• A•••••••• L•• formerFeb 19, 2009 to Nov 30, 2010 · Johnston, Ia
- D••••• C•••••• M••••••••• formerJul 2, 2007 to Feb 20, 2009 · West Des Moines, Ia
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jun 15, 2023, registered Jun 15, 2023 (0 days) · channel change inside one enterprise, not a move · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C••••••• W••••• A•••••••• L•• to W•••• F•••• I••••••••• L••left Nov 30, 2010, registered Dec 3, 2010 (3 days) · Other
- D••••• C•••••• M••••••••• to C••••••• W••••• A•••••••• L••left Feb 20, 2009, registered Feb 19, 2009 (-1 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address