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.
J•••••• S•••• B••••••
- F•• W••••• M••••••••• L•• BD affiliated currentsince Feb 13, 2019 · West Des Moines, Ia
- F•• I••••••••• M••••••••• S•••••••• I••• formerSep 30, 2016 to Feb 8, 2019 · West Des Moines, Ia
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 17, 2012 to Jul 27, 2016 · Omaha, Ne
- F•• I••••••••• M••••••••• S•••••••• I••• to F•• W••••• M••••••••• L••left Feb 8, 2019, registered Feb 13, 2019 (5 days) · channel change inside one enterprise, not a move · moved with a team
- M•• I•••••••• S•••••••• L•• to F•• I••••••••• M••••••••• S•••••••• I•••left Jul 27, 2016, registered Sep 30, 2016 (65 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address