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.
T••••• E••• S••••••••
- A••••• F•••••••• P•••••••• I••• independent RIA currentsince Aug 31, 2020 · Downers Grove, Il
- S•• A•••••••• I••• formerOct 30, 2017 to Aug 31, 2020 · Shorewood, Mn
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 12, 2016 to Oct 30, 2017 · Sioux City, Ia
- G••••••• W••••• M••••••••• BD affiliatedApr 28, 2015 to Dec 31, 2015 · Shorewood, Mn
- G••••••• A•••••••• L•• independent RIAJul 3, 2014 to Apr 24, 2015 · Shorewood, Mn
- C••••••• F•••••••• D••••••• I••• BD affiliatedDec 2, 2010 to Jul 1, 2014 · Shorewood, Mn
- A•••• A••••••• G••••• I••• unclassifiedOct 20, 2010 to Dec 6, 2010 · Bloomington, Mn
- S•• A•••••••• I••• to A••••• F•••••••• P•••••••• I•••left Aug 31, 2020, registered Aug 31, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA
- V••• F•••••••• A•••••••• I••• to S•• A•••••••• I•••left Oct 30, 2017, registered Oct 30, 2017 (0 days) · Other
- G••••••• W••••• M••••••••• to V••• F•••••••• A•••••••• I•••left Dec 31, 2015, registered Jan 12, 2016 (12 days) · Other
- G••••••• A•••••••• L•• to G••••••• W••••• M•••••••••left Apr 24, 2015, registered Apr 28, 2015 (4 days) · Other · moved with a team
- C••••••• F•••••••• D••••••• I••• to G••••••• A•••••••• L••left Jul 1, 2014, registered Jul 3, 2014 (2 days) · Other
- A•••• A••••••• G••••• I••• to C••••••• F•••••••• D••••••• I•••left Dec 6, 2010, registered Dec 2, 2010 (-4 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address