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.
- A••••••••• I••• BD affiliated currentsince Nov 10, 2021 · Des Moines, Ia
- M••••• R••••••••• P••••••• independent RIAAug 1, 2019 to Nov 5, 2020 · Grimes, Ia
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 30, 2018 to Dec 24, 2018 · West Des Moines, Ia
- M••••• R••••••••• P••••••• to A••••••••• I•••left Nov 5, 2020, registered Nov 10, 2021 (370 days) · RIA to affiliated broker-dealer or bank
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M••••• R••••••••• P•••••••left Dec 24, 2018, registered Aug 1, 2019 (220 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address