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.
R••• R••••• B••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 7, 2026 · Bettendorf, Ia
- L•• F•••••••• L•• BD affiliatedApr 8, 2022 to May 20, 2026 · Moline, Il
- C••• B•••••••• S•••••••• I••• formerNov 13, 2019 to Apr 7, 2022 · Bettendorf, Ia
- L•• F•••••••• L•• BD affiliatedSep 8, 2015 to Nov 11, 2019 · Moline, Il
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJun 21, 2013 to Sep 8, 2015 · Johnston, Ia
- C••• F•••••••• S•••••••• L••• formerJan 11, 2011 to Feb 21, 2013 · San Diego, Ca
- E••••• J•••• national BDJun 26, 2008 to Dec 1, 2010 · St Louis, Mo
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 20, 2026, registered Aug 7, 2026 (79 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Apr 7, 2022, registered Apr 8, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••left Nov 11, 2019, registered Nov 13, 2019 (2 days) · Affiliated broker-dealer or bank to another
- T••••••• I••••••••• M••••••••• I••• to L•• F•••••••• L••left Sep 8, 2015, registered Sep 8, 2015 (0 days) · Other
- C••• F•••••••• S•••••••• L••• to T••••••• I••••••••• M••••••••• I•••left Feb 21, 2013, registered Jun 21, 2013 (120 days) · Other
- E••••• J•••• to C••• F•••••••• S•••••••• L•••left Dec 1, 2010, registered Jan 11, 2011 (41 days) · Other
- R••• R••••• B•••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-08-07)May 20, 2026 · Advisor changed firm · fact
- R••• R••••• B•••• left C••• B•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2022-04-08)Apr 7, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address