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.
B•••• H•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 7, 2015 · Minneapolis, Mn
- G••••••• A•••••••• L•• independent RIADec 14, 2011 to Oct 7, 2013 · Arden Hills, Mn
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 18, 2011 to Dec 13, 2011 · St. Paul, Mn
- S••••••• A•••• M••••••••• I••• formerJul 18, 2011 to Jul 25, 2011 · Edina, Mn
- T• A••••••••• I••• formerJul 18, 2011 to Dec 13, 2011 · St. Paul, Mn
- W•••• F•••• I••••••••• L•• unclassifiedJan 24, 2005 to Mar 8, 2007 · New Brighton, Mn
- G••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 7, 2013, registered Jul 7, 2015 (638 days) · Other
- T• A••••••••• I••• to G••••••• A•••••••• L••left Dec 13, 2011, registered Dec 14, 2011 (1 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 13, 2011, registered Jul 18, 2011 (-148 days) · channel change inside one enterprise, not a move
- S••••••• A•••• M••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 25, 2011, registered Jul 18, 2011 (-7 days) · Other
- W•••• F•••• I••••••••• L•• to S••••••• A•••• M••••••••• I•••left Mar 8, 2007, registered Jul 18, 2011 (1593 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address