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••••• L•• W••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Forest Lake, Mn
- S•••••••• F••••••••• I••• formerAug 12, 2020 to Sep 1, 2023 · Forest Lake, Mn
- F•• S••••••••• C••••••••• formerMar 20, 2019 to Jul 17, 2020 · Atlanta, Ga
- O•••• W•••••• I••• BD affiliatedMar 20, 2019 to Jul 17, 2020 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerMar 20, 2019 to Jul 17, 2020 · Scottsdale, Az
- W••••••• F•••••••• S•••••••• I••• formerMar 19, 2019 to Jul 17, 2020 · Oakdale, Mn
- O•••• I••••••••• I••• BD affiliatedSep 18, 2018 to Mar 26, 2019 · Forest Lake, Mn
- I••••••••• C•••••• O• A••••••• I••• formerMay 31, 2016 to Sep 26, 2016 · Bismarck, Nd
- F•••••••• L•• formerJan 29, 2014 to Dec 31, 2015 · Minneapolis, Mn
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- W••••••• F•••••••• S•••••••• I••• to S•••••••• F••••••••• I•••left Jul 17, 2020, registered Mar 20, 2019 (-485 days) · channel change inside one enterprise, not a move
- F•• S••••••••• C••••••••• to S•••••••• F••••••••• I•••left Jul 17, 2020, registered Aug 12, 2020 (26 days) · channel change inside one enterprise, not a move
- O•••• W•••••• I••• to F•• S••••••••• C•••••••••left Jul 17, 2020, registered Mar 20, 2019 (-485 days) · channel change inside one enterprise, not a move
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Jul 17, 2020, registered Mar 20, 2019 (-485 days) · channel change inside one enterprise, not a move
- O•••• I••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 26, 2019, registered Mar 19, 2019 (-7 days) · Affiliated broker-dealer or bank to another
- I••••••••• C•••••• O• A••••••• I••• to O•••• I••••••••• I•••left Sep 26, 2016, registered Sep 18, 2018 (722 days) · Other
- F•••••••• L•• to I••••••••• C•••••• O• A••••••• I•••left Dec 31, 2015, registered May 31, 2016 (152 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address