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.
M••••• J••••• J•••••••
- O•••• I••••••••• I••• BD affiliated currentsince Nov 18, 2019 · Woodbury, Mn
- F•••• A••••••• independent RIAAug 29, 2013 to Nov 18, 2019 · Plymouth, Mn
- F•••• A•• C•••••• formerOct 1, 2012 to Dec 20, 2013 · Plymouth, Mn
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• independent RIAMay 19, 2008 to Sep 28, 2012 · Golden Valley , Mn
- F•••• A••••••• to O•••• I••••••••• I•••left Nov 18, 2019, registered Nov 18, 2019 (0 days) · RIA to affiliated broker-dealer or bank
- F•••• A•• C•••••• to F•••• A•••••••left Dec 20, 2013, registered Aug 29, 2013 (-113 days) · Other
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• to F•••• A•• C••••••left Sep 28, 2012, registered Oct 1, 2012 (3 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