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.
A••••• R••• B••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 22, 2016 · Burnsville, Mn
- I••••••••• C•••••• O• A••••••• I••• formerApr 7, 2010 to Apr 1, 2016 · West Des Moines, Ia
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 7, 2009 to Apr 9, 2010 · W Des Moines, Ia
- D••••• C•••••• M••••••••• formerJan 5, 2009 to Mar 12, 2009 · West Des Moines, Ia
- I••••••••• C•••••• O• A••••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••left Apr 1, 2016, registered Apr 22, 2016 (21 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to I••••••••• C•••••• O• A••••••• I•••left Apr 9, 2010, registered Apr 7, 2010 (-2 days) · Other
- D••••• C•••••• M••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 12, 2009, registered Oct 7, 2009 (209 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address