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.
R••••• E••••• L•••
- V•• C•••••• W••••• M••••••••• L•• independent RIA currentsince Sep 14, 2023 · Minneapolis, Mn
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• independent RIAAug 13, 2018 to Sep 14, 2023 · Golden Valley, Mn
- F•••• A••••••• independent RIASep 16, 2013 to Sep 7, 2018 · Plymouth, Mn
- F•••• A•• C•••••• formerJun 6, 2013 to Dec 20, 2013 · Plymouth, Mn
- O••••••••• • C•• I••• BD affiliatedJan 11, 2008 to Feb 2, 2012 · Minneapolis, Mn
- R•• C•••••• M••••••• L•• national BDJan 4, 2006 to Jan 24, 2008 · Minneapolis, Mn
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• to V•• C•••••• W••••• M••••••••• L••left Sep 14, 2023, registered Sep 14, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• A••••••• to T•• O•• R•••• F•••••••• S••••••• G••••• I••left Sep 7, 2018, registered Aug 13, 2018 (-25 days) · RIA to affiliated broker-dealer or bank · moved with a team
- F•••• A•• C•••••• to F•••• A•••••••left Dec 20, 2013, registered Sep 16, 2013 (-95 days) · Other
- O••••••••• • C•• I••• to F•••• A•• C••••••left Feb 2, 2012, registered Jun 6, 2013 (490 days) · Other
- R•• C•••••• M••••••• L•• to O••••••••• • C•• I•••left Jan 24, 2008, registered Jan 11, 2008 (-13 days) · Other
- R••••• E••••• L••• left T•• O•• R•••• F•••••••• S••••••• G••••• I•• for V•• C•••••• W••••• M••••••••• L•• (registered 2023-09-14)Sep 14, 2023 · Advisor changed firm · 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
- Independent wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address