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.
C•••••••• A•• H•••••••
- F••••• F•••••••• independent RIA currentsince Mar 21, 2024 · Dubuque, Ia
- C••••••• P••••••• independent RIASep 19, 2023 to Jan 2, 2024 · Bellevue, Ia
- A•••••• P••••••• P•••••••• I••• BD affiliatedApr 6, 2021 to Sep 15, 2023 · Dubuque, Ia
- C••••••• P••••••• to F••••• F••••••••left Jan 2, 2024, registered Mar 21, 2024 (79 days) · RIA to a newly registered adviser
- A•••••• P••••••• P•••••••• I••• to C••••••• P•••••••left Sep 15, 2023, registered Sep 19, 2023 (4 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• A•• H••••••• left C••••••• P••••••• for F••••• F•••••••• (registered 2024-03-21)Jan 2, 2024 · Advisor changed firm · fact
- C•••••••• A•• H••••••• left A•••••• P••••••• P•••••••• I••• for C••••••• P••••••• (registered 2023-09-19)Sep 15, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address