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••• A••• F•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 30, 2022 · Minnetonka, Mn
- G•••• V••••• A•••••• G••••• L•• independent RIAMay 1, 2017 to Nov 18, 2022 · Minnetonka, Mn
- P•••••••• S••••••••• I••• BD affiliatedJan 17, 2014 to May 17, 2017 · Minnetonka, Mn
- G•••• V••••• A•••••• G••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 18, 2022, registered Nov 30, 2022 (12 days) · RIA to affiliated broker-dealer or bank
- P•••••••• S••••••••• I••• to G•••• V••••• A•••••• G••••• L••left May 17, 2017, registered May 1, 2017 (-16 days) · Other
- E••• A••• F••••••••• left G•••• V••••• A•••••• G••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-11-30)Nov 18, 2022 · a•••••• firm change · 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address