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.
C•••••• M••••••• S••••••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Jun 4, 2015 · Minneapolis, Mn
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• independent RIAMay 5, 2010 to Dec 31, 2010 · Golden Valley, Mn
- E••• B••••• A•••••••• L•• formerSep 9, 2009 to May 5, 2010 · Minneapolis, Mn
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• to T••••••• I••••••••• M••••••••• I•••left Dec 31, 2010, registered Jun 4, 2015 (1616 days) · Other
- E••• B••••• A•••••••• L•• to T•• O•• R•••• F•••••••• S••••••• G••••• I••left May 5, 2010, registered May 5, 2010 (0 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address