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••••• E••••••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Feb 9, 2024 · Minneapolis, Mn
- T••••••••• S••••••••• L•• state registeredAug 25, 2022 to Oct 13, 2022 · Marion, Ia
- L•• F•••••••• L•• BD affiliatedNov 1, 2021 to Oct 14, 2022 · Marion, Ia
- P•••••••• S••••••••• I••• BD affiliatedNov 19, 2019 to Nov 4, 2021 · Hiawatha, Ia
- T••••••• I••••••••• M••••••••• I••• BD affiliatedOct 22, 2019 to Oct 29, 2019 · Omaha, Ne
- L•• F•••••••• L•• to T••••••••• S••••••••• L••left Oct 14, 2022, registered Aug 25, 2022 (-50 days) · RIA to a state-registered adviser
- T••••••••• S••••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Oct 13, 2022, registered Feb 9, 2024 (484 days) · Other
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Nov 4, 2021, registered Nov 1, 2021 (-3 days) · Affiliated broker-dealer or bank to another
- T••••••• I••••••••• M••••••••• I••• to P•••••••• S••••••••• I•••left Oct 29, 2019, registered Nov 19, 2019 (21 days) · Affiliated broker-dealer or bank to another
- A••••• E•••••••• left L•• F•••••••• L•• for T••••••••• S••••••••• L•• (registered 2022-08-25)Oct 14, 2022 · Advisor changed firm · fact
- A••••• E•••••••• left T••••••••• S••••••••• L•• for T••••••• I••••••••• M••••••••• I••• (registered 2024-02-09)Oct 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address