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••••• E••••• P•••••
- F•• W••••• M••••••••• L•• BD affiliated currentsince Aug 19, 2018 · West Des Moines, Ia
- F•• I••••••••• M••••••••• S•••••••• I••• formerFeb 5, 2015 to Aug 17, 2018 · West Des Moines, Ia
- F•••• C•••••• F•••••••• P•••••••• I••• formerJul 12, 2011 to Feb 6, 2014 · Cheyenne, Wy
- F•• I••••••••• M••••••••• S•••••••• I••• to F•• W••••• M••••••••• L••left Aug 17, 2018, registered Aug 19, 2018 (2 days) · corporate re-registration, not a move
- F•••• C•••••• F•••••••• P•••••••• I••• to F•• I••••••••• M••••••••• S•••••••• I•••left Feb 6, 2014, registered Feb 5, 2015 (364 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address