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.
M•••••• P••• B•••
- L•• F•••••••• L•• BD affiliated currentsince Jun 3, 2026 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 1, 2010 to Jun 10, 2026 · Minnetonka, Mn
- U•• F•••••••• S••••••• I••• wirehouseJul 12, 2007 to Aug 18, 2009 · Minnetonka, Mn
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 10, 2026, registered Jun 3, 2026 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 18, 2009, registered Feb 1, 2010 (167 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• P••• B••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2026-06-03)Jun 10, 2026 · 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address