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.
N••••• J••• O•••••••
- A•••• I••••••••• M••••••••• L•• state registered currentsince Oct 1, 2019 · Red Wing, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDMar 20, 2017 to Jun 25, 2018 · San Antonio, Tx
- A••••• A•• P••••••• S••••••• BD affiliatedSep 23, 2014 to Mar 9, 2017 · Bloomington, Mn
- M••••• S•••••• wirehouseJan 14, 2013 to Aug 26, 2014 · Bloomington, Mn
- T• A••••••••• I••• formerMay 26, 2010 to Sep 10, 2012 · St. Paul, Mn
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 27, 2010 to Sep 10, 2012 · St. Paul, Mn
- A••••••••• F•••••••• S•••••••• L•• to A•••• I••••••••• M••••••••• L••left Jun 25, 2018, registered Oct 1, 2019 (463 days) · Affiliated broker-dealer or bank to a state-registered adviser
- A••••• A•• P••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 9, 2017, registered Mar 20, 2017 (11 days) · Other
- M••••• S•••••• to A••••• A•• P••••••• S•••••••left Aug 26, 2014, registered Sep 23, 2014 (28 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 10, 2012, registered May 26, 2010 (-838 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to M••••• S••••••left Sep 10, 2012, registered Jan 14, 2013 (126 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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address