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•••• K•• R•••••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 1, 2022 · West Des Moines, Ia
- F•• W••••• M••••••••• L•• BD affiliatedOct 29, 2021 to Mar 29, 2022 · West Des Moines, Ia
- E••••• J•••• national BDJun 29, 2018 to Feb 15, 2019 · Clive, Ia
- F•• W••••• M••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 29, 2022, registered Jul 1, 2022 (94 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to F•• W••••• M••••••••• L••left Feb 15, 2019, registered Oct 29, 2021 (987 days) · Affiliated broker-dealer or bank to another
- A•••• K•• R••••••••• left F•• W••••• M••••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-07-01)Mar 29, 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
- 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