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•••• W•••• H•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 3, 2025 · Bloomington, Mn
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• independent RIASep 4, 2019 to Oct 3, 2025 · Golden Valley, Mn
- U•• F•••••••• S••••••• I••• wirehouseOct 5, 2017 to Apr 17, 2019 · Wayzata, Mn
- W•••• F•••• A••••••• wirehouseDec 20, 2013 to Oct 6, 2017 · Minneapolis, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDAug 12, 2011 to Jan 10, 2014 · Lake Elmo, Mn
- R••••• W• B•••• • C•• I••••••••• mixed wealthAug 21, 2008 to Aug 22, 2011 · Edina, Mn
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Sep 3, 2008 · Woodbury, Mn
- P••••••••• E••••• G••••• L•• unclassifiedSep 15, 2000 to Jul 1, 2003 · Albuquerque, Nm
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• to W•••• F•••• A•••••••left Oct 3, 2025, registered Oct 3, 2025 (0 days) · RIA to wirehouse
- U•• F•••••••• S••••••• I••• to T•• O•• R•••• F•••••••• S••••••• G••••• I••left Apr 17, 2019, registered Sep 4, 2019 (140 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Oct 6, 2017, registered Oct 5, 2017 (-1 days) · Wirehouse to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Jan 10, 2014, registered Dec 20, 2013 (-21 days) · Affiliated broker-dealer or bank to wirehouse
- R••••• W• B•••• • C•• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 22, 2011, registered Aug 12, 2011 (-10 days) · Other
- W•••• F•••• A••••••• to R••••• W• B•••• • C•• I•••••••••left Sep 3, 2008, registered Aug 21, 2008 (-13 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- D•••• W•••• H••••••••• left T•• O•• R•••• F•••••••• S••••••• G••••• I•• for W•••• F•••• A••••••• (registered 2025-10-03)Oct 3, 2025 · 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address