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•••• J••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 18, 2024 · Spearfish, Sd
- S••••••••• A•••••• A•••••••• I••• formerOct 16, 2018 to Mar 19, 2024 · Sioux Falls, Sd
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Oct 25, 2018 · Sioux Falls, Sd
- S•• I••••••••• I••• formerJun 14, 2016 to Feb 14, 2018 · Sioux Falls, Sd
- S••••••• F•••••••• S•••••••• I••• formerJul 10, 2014 to Jun 15, 2016 · Iowa City, Ia
- C•• S••••••••• L•• formerJul 10, 2014 to Jun 15, 2016 · Iowa City, Ia
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Mar 19, 2024, registered Mar 18, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Oct 25, 2018, registered Oct 16, 2018 (-9 days) · RIA to affiliated broker-dealer or bank
- S•• I••••••••• I••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••left Jun 15, 2016, registered Jul 10, 2014 (-706 days) · Other
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Jun 15, 2016, registered Jul 10, 2014 (-706 days) · channel change inside one enterprise, not a move
- C•••• J••• M••••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2024-03-18)Mar 19, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address