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.
J••••• M••••• P••••
- R•• C•••••• M••••••• L•• national BD currentsince Apr 20, 2017 · Wayzata, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 16, 2006 to Apr 21, 2017 · Wayzata, Mn
- P•••• S•••••• • C•• institutionalApr 23, 2002 to Dec 31, 2004 · Wayzata, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Apr 21, 2017, registered Apr 20, 2017 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- P•••• S•••••• • C•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2004, registered Jun 16, 2006 (532 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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address