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.
P•••••• M•••••• M•••••
- R•• A••••••• G••••• L•• independent RIA currentsince Aug 6, 2020 · Des Moines, Ia
- B•••••••• L•• independent RIAApr 5, 2019 to Aug 11, 2020 · Sioux Falls, Sd
- L•• F•••••••• L•• BD affiliatedApr 5, 2019 to Aug 10, 2020 · Sioux Falls, Sd
- P•••••••• S••••••••• I••• BD affiliatedMay 3, 2016 to Apr 2, 2019 · Sioux Falls, Sd
- B•••••••• L•• to R•• A••••••• G••••• L••left Aug 11, 2020, registered Aug 6, 2020 (-5 days) · RIA to RIA
- L•• F•••••••• L•• to B•••••••• L••left Aug 10, 2020, registered Apr 5, 2019 (-493 days) · Affiliated broker-dealer or bank to independent RIA
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Apr 2, 2019, registered Apr 5, 2019 (3 days) · Affiliated broker-dealer or bank to independent RIA
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address