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.
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- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Oct 12, 2018 · Brainerd, Mn
- M•••••• P••••••••• P•••••••• L••• independent RIAOct 20, 2017 to Oct 16, 2018 · Brainerd, Mn
- I••••••••• C•••••• O• A••••••• I••• formerNov 26, 2014 to Oct 19, 2017 · Savage, Mn
- M•••• C••••••• A••••••• S•••••• BD affiliatedNov 20, 2013 to Nov 26, 2014 · Two Harbors, Mn
- M•••••• P••••••••• P•••••••• L••• to M•••• C••••••• A••••••• S••••••left Oct 16, 2018, registered Oct 12, 2018 (-4 days) · RIA to affiliated broker-dealer or bank
- I••••••••• C•••••• O• A••••••• I••• to M•••••• P••••••••• P•••••••• L•••left Oct 19, 2017, registered Oct 20, 2017 (1 days) · Other
- M•••• C••••••• A••••••• S•••••• to I••••••••• C•••••• O• A••••••• I•••left Nov 26, 2014, registered Nov 26, 2014 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address