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•••••• J••••• M••••••
- C•••••• A•••• M••••••••• L•• independent RIA currentsince Jun 1, 2022 · Chicago, Il
- S•••••• M••••••••• C• formerNov 26, 2014 to Jun 2, 2022 · Minnetonka, Mn
- M••••••• F••••• W••••• formerSep 11, 2013 to Jun 2, 2022 · Minnetonka, Mn
- M••••••• F••••• W••••• to S•••••• M••••••••• C•left Jun 2, 2022, registered Nov 26, 2014 (-2745 days) · Other
- S•••••• M••••••••• C• to C•••••• A•••• M••••••••• L••left Jun 2, 2022, registered Jun 1, 2022 (-1 days) · Other
- C•••••• J••••• M•••••• left S•••••• M••••••••• C• for C•••••• A•••• M••••••••• L•• (registered 2022-06-01)Jun 2, 2022 · Advisor changed firm · fact
- C•••••• J••••• M•••••• left M••••••• F••••• W••••• for S•••••• M••••••••• C• (registered 2014-11-26)Jun 2, 2022 · 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