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.
E••• E••••• W•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 2, 2019 · Delafield, Wi
- C••••••• A••••••• G•••• L•• formerFeb 5, 2014 to Sep 23, 2019 · Edina, Mn
- M•••• C•••••• M••••••••• L•• unclassifiedDec 23, 2013 to Dec 31, 2014 · Minneapolis, Mn
- S•• BD affiliatedJun 13, 2011 to Jul 2, 2013 · Minneapolis, Mn
- Q•• F•••••••• L•• unclassifiedJan 8, 2009 to Feb 11, 2011 · Minneapolis, Mn
- S•• BD affiliatedSep 28, 2006 to Dec 31, 2008 · Burnsville, Mn
- C••••••• A••••••• G•••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 23, 2019, registered Oct 2, 2019 (9 days) · RIA to affiliated broker-dealer or bank
- M•••• C•••••• M••••••••• L•• to C••••••• A••••••• G•••• L••left Dec 31, 2014, registered Feb 5, 2014 (-329 days) · Other
- S•• to M•••• C•••••• M••••••••• L••left Jul 2, 2013, registered Dec 23, 2013 (174 days) · Other
- Q•• F•••••••• L•• to S••left Feb 11, 2011, registered Jun 13, 2011 (122 days) · Other
- S•• to Q•• F•••••••• L••left Dec 31, 2008, registered Jan 8, 2009 (8 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address