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••••• R••• B•••••••••
- V••••••••• A••••••• S••••••• BD affiliated currentsince Oct 26, 2020 · Woodbury, Ny
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedDec 7, 2018 to Nov 3, 2020 · West Des Moines, Ia
- P•••••••• S••••••••• I••• BD affiliatedFeb 20, 2008 to Dec 19, 2018 · West Des Moines, Ia
- C•••••••• I••••••••• R••••••• A•••••••• I••• to V••••••••• A••••••• S•••••••left Nov 3, 2020, registered Oct 26, 2020 (-8 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 19, 2018, registered Dec 7, 2018 (-12 days) · Affiliated broker-dealer or bank to another
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address