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.
S•••• M•••••••
- S•••• I••••• S••••••••• L•• independent RIA currentsince Jun 12, 2026 · Ankeny, Ia
- E••••• J•••• national BDMay 14, 2024 to May 29, 2026 · West Des Moines, Ia
- W•••• F•••• A••••••• wirehouseAug 22, 2017 to Sep 13, 2022 · Clive, Ia
- E••••• J•••• to S•••• I••••• S••••••••• L••left May 29, 2026, registered Jun 12, 2026 (14 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to E••••• J••••left Sep 13, 2022, registered May 14, 2024 (609 days) · Wirehouse to affiliated broker-dealer or bank
- S•••• M••••••• left E••••• J•••• for S•••• I••••• S••••••••• L•• (registered 2026-06-12)May 29, 2026 · Advisor changed firm · fact
- S•••• M••••••• left W•••• F•••• A••••••• for E••••• J•••• (registered 2024-05-14)Sep 13, 2022 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address