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.
W•••• W•••••• S•••••••••
- R•• C•••••• M••••••• L•• national BD currentsince Sep 14, 2018 · St. Cloud, Mn
- S••••••••• I••••••••• A•••••••• I••• unclassifiedFeb 27, 2018 to Sep 5, 2018 · St Cloud, Mn
- C••••••••• F•••••••• N•••••• national BDJan 21, 2014 to Sep 17, 2018 · St. Cloud, Mn
- F•••• A••••• S••••••••• I••• formerAug 3, 2004 to Mar 1, 2005 · St. Cloud, Mn
- C••••••••• F•••••••• N•••••• to S••••••••• I••••••••• A•••••••• I•••left Sep 17, 2018, registered Feb 27, 2018 (-202 days) · Other
- S••••••••• I••••••••• A•••••••• I••• to R•• C•••••• M••••••• L••left Sep 5, 2018, registered Sep 14, 2018 (9 days) · Other
- F•••• A••••• S••••••••• I••• to C••••••••• F•••••••• N••••••left Mar 1, 2005, registered Jan 21, 2014 (3248 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address