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.
A•••• R••••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 1, 2022 · Plymouth, Mn
- H•••••• W••••• M••••••••• formerOct 24, 2012 to Jul 27, 2022 · Coralville, Ia
- S•• I••••••••• I••• formerNov 19, 2009 to Oct 26, 2012 · Coralville, Ia
- H•••••• W••••• M••••••••• to W••••• E••••••••• A••••••• S•••••••• L••left Jul 27, 2022, registered Jul 1, 2022 (-26 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•• I••••••••• I••• to H•••••• W••••• M•••••••••left Oct 26, 2012, registered Oct 24, 2012 (-2 days) · Other
- A•••• R•••••••• left H•••••• W••••• M••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-07-01)Jul 27, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address