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.
- E••••• J•••• national BD currentsince Nov 20, 2020 · Waterloo, Ia
- L•• F•••••••• L•• BD affiliatedSep 30, 2020 to Dec 7, 2020 · Cedar Rapids, Ia
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedNov 21, 2019 to Oct 15, 2020 · Cedar Rapids, Ia
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 30, 2019 to Sep 10, 2019 · Cedar Rapids, Ia
- T• A••••••••• I••• formerJan 30, 2019 to Sep 10, 2019 · Cedar Rapids, Ia
- P•••• S••••••••• L•• no RAUMSep 25, 2018 to Jan 9, 2019 · Omaha, Ne
- F•• I••••••••• M••••••••• S•••••••• I••• formerJul 28, 2017 to Aug 27, 2018 · West Des Moines, Ia
- B••••••• I••••••••• S•••••••• I••• ••••• formerOct 25, 2016 to Jun 23, 2017 · Cedar Rapids, Ia
- M•• F•••••••• S•••••••• I••• formerMar 18, 2016 to Oct 19, 2016 · Cedar Rapids, Ia
- L•• F•••••••• L•• to E••••• J••••left Dec 7, 2020, registered Nov 20, 2020 (-17 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Oct 15, 2020, registered Sep 30, 2020 (-15 days) · Affiliated broker-dealer or bank to another · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 10, 2019, registered Nov 21, 2019 (72 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 10, 2019, registered Jan 30, 2019 (-223 days) · channel change inside one enterprise, not a move
- P•••• S••••••••• L•• to T• A••••••••• I•••left Jan 9, 2019, registered Jan 30, 2019 (21 days) · Other
- F•• I••••••••• M••••••••• S•••••••• I••• to P•••• S••••••••• L••left Aug 27, 2018, registered Sep 25, 2018 (29 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to F•• I••••••••• M••••••••• S•••••••• I•••left Jun 23, 2017, registered Jul 28, 2017 (35 days) · Other
- M•• F•••••••• S•••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Oct 19, 2016, registered Oct 25, 2016 (6 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address