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.
A••• D•••• L••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince May 25, 2023 · Bloomington, Mn
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedNov 19, 2008 to Oct 12, 2016 · Minneapolis, Mn
- P••••••• F•••••••• S•••••••• I••• BD affiliatedApr 15, 2008 to Dec 12, 2008 · Dallas, Tx
- N••••••• A•••• M••••••••• I•• independent RIASep 20, 2001 to Apr 1, 2008 · Marco Island, Fl
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Oct 12, 2016, registered May 25, 2023 (2416 days) · Other · moved with a team
- P••••••• F•••••••• S•••••••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Dec 12, 2008, registered Nov 19, 2008 (-23 days) · Other
- N••••••• A•••• M••••••••• I•• to P••••••• F•••••••• S•••••••• I•••left Apr 1, 2008, registered Apr 15, 2008 (14 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address