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.
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- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Oct 14, 2020 · Minnetonka, Mn
- W••• O•••••••• I••• formerNov 21, 2015 to Nov 2, 2020 · Plymouth, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 19, 2013 to Mar 11, 2015 · Wayzata, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 13, 2011 to May 16, 2013 · Eden Prairie, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 8, 2008 to May 11, 2010 · Wayzata, Mn
- W••• O•••••••• I••• to R••••• W• B•••• • C•• I•••••••••left Nov 2, 2020, registered Oct 14, 2020 (-19 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••• O•••••••• I•••left Mar 11, 2015, registered Nov 21, 2015 (255 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 16, 2013, registered Jun 19, 2013 (34 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 11, 2010, registered Jan 13, 2011 (247 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address