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.
P••• D••••• W•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 1, 2022 · Edina, Mn
- S••••••••• A•••••• A•••••••• I••• formerNov 5, 2018 to Feb 4, 2021 · Minnetonka, Mn
- A•••• P•••• A••••••• formerNov 5, 2018 to Nov 2, 2022 · Minnetonka, Mn
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 28, 2014 to Nov 27, 2018 · Minnetowka, Mn
- C••••••• A••••••• G•••• L•• formerJan 27, 2014 to Apr 14, 2014 · Minnetonka, Mn
- S•• BD affiliatedApr 8, 2004 to Nov 28, 2011 · Minnetonka, Mn
- A•••• P•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 2, 2022, registered Nov 1, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to A•••• P•••• A•••••••left Feb 4, 2021, registered Nov 5, 2018 (-822 days) · channel change inside one enterprise, not a move
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Nov 27, 2018, registered Nov 5, 2018 (-22 days) · Affiliated broker-dealer or bank to another
- C••••••• A••••••• G•••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 14, 2014, registered Jan 28, 2014 (-76 days) · Other
- S•• to C••••••• A••••••• G•••• L••left Nov 28, 2011, registered Jan 27, 2014 (791 days) · Other
- P••• D••••• W••••••• left A•••• P•••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-11-01)Nov 2, 2022 · Advisor changed firm · fact
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address