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•••• T• E••••
- I••••••••• W••••• N••••••• I••• i••••••••• wealth currentsince Nov 3, 2020 · Urbandale, Ia
- B•• P•••••••• I••• BD affiliatedSep 25, 2018 to Nov 4, 2020 · Waukee, Ia
- I••••••••• A••••••• C••• formerJul 21, 2010 to Sep 24, 2018 · Johnston, Ia
- W•••• F•••• A••••••• wirehouseJul 3, 2008 to Jul 14, 2010 · West Des Moines, Ia
- B•• P•••••••• I••• to I••••••••• W••••• N••••••• I•••left Nov 4, 2020, registered Nov 3, 2020 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• A••••••• C••• to B•• P•••••••• I•••left Sep 24, 2018, registered Sep 25, 2018 (1 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to I••••••••• A••••••• C•••left Jul 14, 2010, registered Jul 21, 2010 (7 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
- I••••••••• WEALTHderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address