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•••• K••••••• Z••••••
- R•• C•••••• M••••••• L•• national BD currentsince Nov 2, 2021 · Wayzata, Mn
- L•• F•••••••• L•• BD affiliatedMay 6, 2021 to Nov 2, 2021 · Edina, Mn
- R•• C•••••• M••••••• L•• national BDAug 5, 2015 to May 5, 2021 · Minnetonka, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDApr 10, 2013 to Mar 19, 2015 · Minneapolis, Mn
- N•• E•••••• S••••••••• C••••••••• formerFeb 2, 2010 to Dec 5, 2012 · Minneapolis, Mn
- L•• F•••••••• L•• to R•• C•••••• M••••••• L••left Nov 2, 2021, registered Nov 2, 2021 (0 days) · Affiliated broker-dealer or bank to another
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left May 5, 2021, registered May 6, 2021 (1 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to R•• C•••••• M••••••• L••left Mar 19, 2015, registered Aug 5, 2015 (139 days) · Affiliated broker-dealer or bank to another
- N•• E•••••• S••••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 5, 2012, registered Apr 10, 2013 (126 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address