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.
S••• A••• F••••••
- M•• S••••••••• L•• no RAUM currentsince Feb 23, 2021 · Minneapolis, Mn
- P•••••••• S••••••••• I••• BD affiliatedJun 4, 2019 to Jan 21, 2021 · Minnetonka, Mn
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedMar 8, 2016 to Jul 2, 2018 · St Louis Park, Mn
- M••••••••• R••••••••• BD affiliatedOct 14, 2014 to Jan 26, 2016 · St Louis Park, Mn
- S•••••••• A••••••• L•• national BDJun 10, 2004 to Jun 26, 2009 · Edina, Mn
- P•••••••• S••••••••• I••• to M•• S••••••••• L••left Jan 21, 2021, registered Feb 23, 2021 (33 days) · Other
- T••••••••• R••••••••• A•••••••• L•• to P•••••••• S••••••••• I•••left Jul 2, 2018, registered Jun 4, 2019 (337 days) · RIA to affiliated broker-dealer or bank
- M••••••••• R••••••••• to T••••••••• R••••••••• A•••••••• L••left Jan 26, 2016, registered Mar 8, 2016 (42 days) · Other
- S•••••••• A••••••• L•• to M••••••••• R•••••••••left Jun 26, 2009, registered Oct 14, 2014 (1936 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
- No RAUM reportedderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address