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.
M••• P•••••• H••••••••
- E••••• J•••• national BD currentsince Apr 24, 2025 · Johnston, Ia
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedFeb 28, 2022 to Apr 7, 2025 · West Des Moines, Ia
- P•••••••• S••••••••• I••• BD affiliatedNov 4, 2019 to Mar 3, 2022 · Des Moines, Ia
- C•••••••• I••••••••• R••••••• A•••••••• I••• to E••••• J••••left Apr 7, 2025, registered Apr 24, 2025 (17 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 3, 2022, registered Feb 28, 2022 (-3 days) · Affiliated broker-dealer or bank to another
- M••• P•••••• H•••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for E••••• J•••• (registered 2025-04-24)Apr 7, 2025 · Advisor changed firm · fact
- M••• P•••••• H•••••••• left P•••••••• S••••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-02-28)Mar 3, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address