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.
R••••• J•••• F•••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 30, 2023 · San Diego, Ca
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Dec 5, 2023 · Fridley, Mn
- S•••••••• F••••••••• I••• formerOct 23, 2015 to Sep 1, 2023 · Forest Lake, Mn
- F•••••••• L•• formerJan 29, 2014 to Sep 10, 2015 · Minneapolis, Mn
- O•••• W•••••• I••• to L•• F•••••••• L••left Dec 5, 2023, registered Nov 30, 2023 (-5 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- F•••••••• L•• to S•••••••• F••••••••• I•••left Sep 10, 2015, registered Oct 23, 2015 (43 days) · Other
- R••••• J•••• F••••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2023-11-30)Dec 5, 2023 · Advisor changed firm · fact
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address