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.
O•••• L••••••••
- G••••• R••••••••• P••••••• L•• institutional currentsince Oct 13, 2024 · Long Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 23, 2024 to Oct 18, 2024 · West Des Moines, Ia
- P•••••••• S••••••••• I••• BD affiliatedApr 26, 2016 to Sep 10, 2024 · Des Moines, Ia
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G••••• R••••••••• P••••••• L••left Oct 18, 2024, registered Oct 13, 2024 (-5 days) · Other
- P•••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 10, 2024, registered Sep 23, 2024 (13 days) · Affiliated broker-dealer or bank to wirehouse
- O•••• L•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for G••••• R••••••••• P••••••• L•• (registered 2024-10-13)Oct 18, 2024 · Advisor changed firm · fact
- O•••• L•••••••• left P•••••••• S••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-09-23)Sep 10, 2024 · 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
- Institutional managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address