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.
T••• M•••••• H••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 4, 2019 · Fargo, Nd
- S••••••••• A•••••• A•••••••• I••• formerJul 29, 2013 to Jan 31, 2019 · Fargo, Nd
- C• W••••• M••••••••• L•• independent RIADec 14, 2011 to Jul 18, 2013 · Schaumburg, Il
- W•••••• S••••••••• C••••••••• unclassifiedApr 23, 2008 to Sep 30, 2011 · Minnetonka, Mn
- C••••• A•••••• N••••••• L•• formerJul 7, 1999 to Aug 5, 2002 · Fargo, Nd
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Jan 31, 2019, registered Feb 4, 2019 (4 days) · Affiliated broker-dealer or bank to independent RIA
- C• W••••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jul 18, 2013, registered Jul 29, 2013 (11 days) · Other
- W•••••• S••••••••• C••••••••• to C• W••••• M••••••••• L••left Sep 30, 2011, registered Dec 14, 2011 (75 days) · Other
- C••••• A•••••• N••••••• L•• to W•••••• S••••••••• C•••••••••left Aug 5, 2002, registered Apr 23, 2008 (2088 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address