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••• D••••• H•••••••
- L••••• F••••••••• I••• BD affiliated currentsince Aug 12, 2015 · Minnetonka, Mn
- J•• C•••••• A•••••••• L•• formerAug 2, 2012 to Aug 7, 2015 · Tampa, Fl
- R•• C•••••• M••••••• L•• national BDJun 21, 2006 to Aug 9, 2012 · Minnetonka, Mn
- J•• C•••••• A•••••••• L•• to L••••• F••••••••• I•••left Aug 7, 2015, registered Aug 12, 2015 (5 days) · Other · moved with a team
- R•• C•••••• M••••••• L•• to J•• C•••••• A•••••••• L••left Aug 9, 2012, registered Aug 2, 2012 (-7 days) · Other
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address