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••••• D•••• B•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · St Cloud, Mn
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 28, 2014 to Sep 29, 2021 · St Cloud, Mn
- C••••• I••••••••• S••••••• L•• formerDec 11, 2012 to Jan 31, 2014 · St. Cloud, Mn
- G••••• W••••• M••••••••• I••• BD affiliatedMar 18, 2011 to Nov 20, 2012 · Lakeville, Mn
- N•••••• F•••••••• G••••• I••• independent RIAFeb 9, 2011 to Mar 1, 2011 · New Prague, Mn
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 31, 2014, registered Jan 28, 2014 (-3 days) · corporate re-registration, not a move
- G••••• W••••• M••••••••• I••• to C••••• I••••••••• S••••••• L••left Nov 20, 2012, registered Dec 11, 2012 (21 days) · Other
- N•••••• F•••••••• G••••• I••• to G••••• W••••• M••••••••• I•••left Mar 1, 2011, registered Mar 18, 2011 (17 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address