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.
C••••••••• S•••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Dec 19, 2022 · Polk City, Ia
- P•••••••• S••••••••• I••• BD affiliatedJul 24, 2017 to Dec 15, 2022 · Des Moines, Ia
- C••••• A•••••• N••••••• L•• formerDec 22, 2015 to Jun 27, 2017 · West Des Moines, Ia
- P•••••••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Dec 15, 2022, registered Dec 19, 2022 (4 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to P•••••••• S••••••••• I•••left Jun 27, 2017, registered Jul 24, 2017 (27 days) · Other
- C••••••••• S••••••••• left P•••••••• S••••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2022-12-19)Dec 15, 2022 · a•••••• firm change · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address