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.
S•••• L••••• J••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 1, 2017 · Mt Pleasant, Ia
- D••• H••• A•••••••• I••• independent RIADec 2, 2016 to Aug 1, 2017 · Mt. Pleasant, Ia
- I•••••••• A•••••••• L•• BD affiliatedMar 19, 2013 to Dec 9, 2016 · Wayland, Ia
- I••••• F•••••••• C••••••••• formerFeb 17, 2011 to Apr 25, 2011 · Burlington, Ia
- I••••••••• A••••••• C••• formerApr 13, 2007 to Feb 14, 2011 · Mt. Pleasant, Ia
- D••• H••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 1, 2017, registered Aug 1, 2017 (0 days) · Other
- I•••••••• A•••••••• L•• to D••• H••• A•••••••• I•••left Dec 9, 2016, registered Dec 2, 2016 (-7 days) · Other
- I••••• F•••••••• C••••••••• to I•••••••• A•••••••• L••left Apr 25, 2011, registered Mar 19, 2013 (694 days) · Other
- I••••••••• A••••••• C••• to I••••• F•••••••• C•••••••••left Feb 14, 2011, registered Feb 17, 2011 (3 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