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•••• L• H•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 23, 2017 · Minneapolis, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDApr 13, 2015 to Dec 31, 2016 · Minneapolis, Mn
- L•••• C•••••• G•••• formerOct 20, 2011 to Mar 30, 2015 · San Diego, Ca
- N•••••••• A•••• M••••••••• independent RIAJul 8, 2008 to Sep 12, 2011 · Minneapolis, Mn
- L•••• C•••••• G•••• to A••••••••• F•••••••• S•••••••• L••left Mar 30, 2015, registered Apr 13, 2015 (14 days) · Other
- N•••••••• A•••• M••••••••• to L•••• C•••••• G••••left Sep 12, 2011, registered Oct 20, 2011 (38 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address