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.
N••••••• S••••• W•••
- O•••• W•••••• I••• BD affiliated currentsince May 6, 2026 · Waukon, Ia
- L•••••• I••••••••• independent RIAMay 6, 2025 to May 6, 2026 · Palm Beach Gardens, Fl
- F•• W••••• M••••••••• L•• BD affiliatedOct 20, 2022 to May 9, 2025 · West Des Moines, Ia
- L•••••• I••••••••• to O•••• W•••••• I•••left May 6, 2026, registered May 6, 2026 (0 days) · RIA to affiliated broker-dealer or bank
- F•• W••••• M••••••••• L•• to L•••••• I•••••••••left May 9, 2025, registered May 6, 2025 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- N••••••• S••••• W••• left L•••••• I••••••••• for O•••• W•••••• I••• (registered 2026-05-06)May 6, 2026 · Advisor changed firm · fact
- N••••••• S••••• W••• left F•• W••••• M••••••••• L•• for L•••••• I••••••••• (registered 2025-05-06)May 9, 2025 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address