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.
J••••• W••• G••••••••
- E••••• J•••• national BD currentsince Aug 1, 2025 · Decorah, Ia
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Apr 15, 2025 · Cresco, Ia
- I••••••••• C•••••• O• A••••••• I••• formerNov 26, 2014 to Nov 29, 2017 · Decorah, Ia
- B••••••• I••••••••• S•••••••• I••• ••••• formerMay 17, 2006 to Dec 8, 2014 · Lakeville, Mn
- C••••• I••••••••• S••••••• L•• formerNov 26, 2003 to May 17, 2006 · Mabel, Mn
- W••••• S••••• A••••••• I•• unclassifiedJun 11, 2001 to Oct 17, 2003 · Fargo, Nd
- L•• F•••••••• L•• to E••••• J••••left Apr 15, 2025, registered Aug 1, 2025 (108 days) · Affiliated broker-dealer or bank to another
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to I••••••••• C•••••• O• A••••••• I•••left Dec 8, 2014, registered Nov 26, 2014 (-12 days) · Other
- C••••• I••••••••• S••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left May 17, 2006, registered May 17, 2006 (0 days) · Other
- W••••• S••••• A••••••• I•• to C••••• I••••••••• S••••••• L••left Oct 17, 2003, registered Nov 26, 2003 (40 days) · Other
- J••••• W••• G•••••••• left L•• F•••••••• L•• for E••••• J•••• (registered 2025-08-01)Apr 15, 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address