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.
N••••••• W•••••• B•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 1, 2024 · Cedar Falls, Ia
- L•• W••••• M••••••••• independent RIADec 6, 2021 to Mar 5, 2024 · Waterloo, Ia
- L•• F•••••••• L•• BD affiliatedApr 26, 2013 to Sep 29, 2022 · San Diego, Ca
- L•• W••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 5, 2024, registered Mar 1, 2024 (-4 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to L•• W••••• M•••••••••left Sep 29, 2022, registered Dec 6, 2021 (-297 days) · RIA to RIA · moved with a team
- N••••••• W•••••• B••••••• left L•• W••••• M••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-03-01)Mar 5, 2024 · Advisor changed firm · fact
- N••••••• W•••••• B••••••• left L•• F•••••••• L•• for L•• W••••• M••••••••• (registered 2021-12-06)Sep 29, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address