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.
E••• J••• O••••••
- F•••• A••••••• independent RIA currentsince Mar 25, 2019 · Plymouth, Mn
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• independent RIAApr 16, 2018 to Mar 14, 2019 · Golden Valley, Mn
- U••• B•••••• I••••••••• I••• formerAug 17, 2012 to Apr 17, 2018 · Stillwater, Mn
- A••••••••• I••••••••• S•••••••• I••• independent RIANov 30, 2011 to Aug 21, 2012 · Hudson, Wi
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• to F•••• A•••••••left Mar 14, 2019, registered Mar 25, 2019 (11 days) · Affiliated broker-dealer or bank to independent RIA
- U••• B•••••• I••••••••• I••• to T•• O•• R•••• F•••••••• S••••••• G••••• I••left Apr 17, 2018, registered Apr 16, 2018 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• I••••••••• S•••••••• I••• to U••• B•••••• I••••••••• I•••left Aug 21, 2012, registered Aug 17, 2012 (-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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address