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•••• C•••••• L•••••
- L••••• F•••••••• A••••••• state registered currentsince Nov 17, 2011 · Cedar Park, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedApr 3, 2009 to Oct 25, 2011 · Bloomington, Mn
- L••••• W••••• A•••••••• L•• unclassifiedApr 13, 2006 to Dec 31, 2010 · Minnetonka, Mn
- F•••••••• E•••••••• A••••••••• I••• unclassifiedMar 20, 1998 to Mar 31, 2004 · Corpus Christi, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L••••• F•••••••• A•••••••left Oct 25, 2011, registered Nov 17, 2011 (23 days) · Other
- L••••• W••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2010, registered Apr 3, 2009 (-637 days) · Other
- F•••••••• E•••••••• A••••••••• I••• to L••••• W••••• A•••••••• L••left Mar 31, 2004, registered Apr 13, 2006 (743 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
- STATE REGISTEREDderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address