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.
D•••• H••••• F••••
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• independent RIA currentsince Nov 14, 2022 · Golden Valley, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Nov 9, 2022 · Lake Elmo, Mn
- A••••••••• A•••••• S•••••••• I••• unclassifiedJan 30, 2006 to Oct 5, 2009 · Woodbury, Mn
- A••••••••• F•••••••• S•••••••• L•• to T•• O•• R•••• F•••••••• S••••••• G••••• I••left Nov 9, 2022, registered Nov 14, 2022 (5 days) · Affiliated broker-dealer or bank to another
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- D•••• H••••• F•••• left A••••••••• F•••••••• S•••••••• L•• for T•• O•• R•••• F•••••••• S••••••• G••••• I•• (registered 2022-11-14)Nov 9, 2022 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address