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•••••• L•• G••••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 7, 2022 · West Des Moines, Ia
- W•••• F•••• A••••••• wirehouseSep 23, 2021 to Sep 12, 2022 · Des Moines, Ia
- F••••• I••••••••• independent RIAJan 14, 2021 to Jul 15, 2021 · Grimes, Ia
- T• A••••••••• I••• formerFeb 27, 2018 to Jan 11, 2021 · West Des Moines, Ia
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Dec 31, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 27, 2017 to Feb 26, 2018 · Saint Louis, Mo
- V••• F•••••••• P•••••••• L•• formerMay 13, 2016 to Oct 7, 2016 · Des Moines, Ia
- W•••• F•••• A••••••• wirehouseApr 7, 2014 to Sep 3, 2015 · West Des Moines, Ia
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Sep 12, 2022, registered Oct 7, 2022 (25 days) · channel change inside one enterprise, not a move
- F••••• I••••••••• to W•••• F•••• A•••••••left Jul 15, 2021, registered Sep 23, 2021 (70 days) · RIA to wirehouse
- T• A••••••••• I••• to F••••• I•••••••••left Jan 11, 2021, registered Jan 14, 2021 (3 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Feb 27, 2018 (-1038 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- V••• F•••••••• P•••••••• L•• to S•••••••• I••••••••• M•••••••••left Oct 7, 2016, registered Jan 27, 2017 (112 days) · Other
- W•••• F•••• A••••••• to V••• F•••••••• P•••••••• L••left Sep 3, 2015, registered May 13, 2016 (253 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address