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.
T••••• T•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Dubuque, Ia
- A•••••• P••••••• P•••••••• I••• BD affiliated currentsince Apr 15, 2021 · Dubuque, Ia
- A•••••• A••••••• S••••••• formerMar 22, 2021 to Sep 5, 2025 · Dubuque, Ia
- C•••••• L•• independent RIAJun 23, 2015 to Oct 19, 2020 · Rochester, Mn
- E•••••••• A•••••••• L•• national BDJun 18, 2010 to Feb 8, 2013 · Cedar Rapids, Ia
- A•••••• A••••••• S••••••• to A•••••• P••••••• P•••••••• I•••left Sep 5, 2025, registered Apr 15, 2021 (-1604 days) · channel change inside one enterprise, not a move
- C•••••• L•• to A•••••• A••••••• S•••••••left Oct 19, 2020, registered Mar 22, 2021 (154 days) · RIA to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to C•••••• L••left Feb 8, 2013, registered Jun 23, 2015 (865 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address