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.
D••••• K•••••• O••••
- C••••••••• W•••••• L•• independent RIA currentsince May 27, 2020 · Overland Park, Ks
- C•••••• A••••••• BD affiliatedApr 20, 2018 to May 29, 2020 · Adel, Ia
- A• W••••• M••••••••• L•• BD affiliatedFeb 15, 2018 to Apr 24, 2018 · West Des Moines, Ia
- C•••••• A••••••• to C••••••••• W•••••• L••left May 29, 2020, registered May 27, 2020 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- A• W••••• M••••••••• L•• to C•••••• A•••••••left Apr 24, 2018, registered Apr 20, 2018 (-4 days) · RIA to affiliated broker-dealer or bank
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