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•••••• M•••••••••
- E••••• J•••• national BD currentsince Jul 22, 2022 · West Des Moines, Ia
- M•••••• H••••••• F•••••••• A••••••• independent RIANov 8, 2019 to Jul 29, 2022 · West Des Moines, Ia
- S••••••••• A•••••• A•••••••• I••• formerMay 30, 2018 to Apr 6, 2020 · West Des Moines, Ia
- N•••••••• W••••• M••••••••• L•• independent RIAJan 18, 2012 to Apr 13, 2018 · Spirit Lake, Ia
- V•• A••••••• S••••••• formerApr 4, 2011 to Jan 13, 2012 · Overland Park, Ks
- E••••• J•••• national BDMar 13, 2007 to Apr 8, 2011 · St Louis, Mo
- M•••••• H••••••• F•••••••• A••••••• to E••••• J••••left Jul 29, 2022, registered Jul 22, 2022 (-7 days) · RIA to affiliated broker-dealer or bank
- S••••••••• A•••••• A•••••••• I••• to M•••••• H••••••• F•••••••• A•••••••left Apr 6, 2020, registered Nov 8, 2019 (-150 days) · Affiliated broker-dealer or bank to independent RIA
- N•••••••• W••••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Apr 13, 2018, registered May 30, 2018 (47 days) · RIA to affiliated broker-dealer or bank
- V•• A••••••• S••••••• to N•••••••• W••••• M••••••••• L••left Jan 13, 2012, registered Jan 18, 2012 (5 days) · Other
- E••••• J•••• to V•• A••••••• S•••••••left Apr 8, 2011, registered Apr 4, 2011 (-4 days) · Other
- R••• P•••••• M••••••••• left M•••••• H••••••• F•••••••• A••••••• for E••••• J•••• (registered 2022-07-22)Jul 29, 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address