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•••••• R••••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 26, 2019 · Edina, Mn
- A••••••••• W••••• P••••••• independent RIAMay 16, 2018 to Dec 9, 2019 · Edina, Mn
- C••••• A•••••• N••••••• L•• formerNov 26, 2013 to Dec 9, 2019 · Edina, Mn
- A••••••••• W••••• P••••••• to L•• F•••••••• L••left Dec 9, 2019, registered Nov 26, 2019 (-13 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••••• A•••••• N••••••• L•• to A••••••••• W••••• P•••••••left Dec 9, 2019, registered May 16, 2018 (-572 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address