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.
D•••• K•••••• P•••
- L•••• W••••• M••••••••• state registered currentsince Feb 16, 2021 · Chisago City, Mn
- S••••• I••••••••• A••••••• S••••••• independent RIAMay 21, 2019 to Oct 23, 2020 · Roseville, Mn
- L•• F•••••••• L•• BD affiliatedJan 21, 2014 to Mar 3, 2021 · Lindstrom, Mn
- L•• F•••••••• L•• to S••••• I••••••••• A••••••• S•••••••left Mar 3, 2021, registered May 21, 2019 (-652 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• I••••••••• A••••••• S••••••• to L•••• W••••• M•••••••••left Oct 23, 2020, registered Feb 16, 2021 (116 days) · RIA to a state-registered adviser
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address