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•••••• D•••• K••••••••
- W•••••• S••••••••• I••• BD affiliated currentsince Aug 6, 2019 · Pasadena, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDNov 13, 2013 to Aug 7, 2019 · Minneapolis, Mn
- R•• C•••••• M••••••• L•• national BDMay 23, 2008 to Nov 27, 2013 · Edina, Mn
- W•••• F•••• I••••••••• L•• unclassifiedOct 28, 2004 to May 28, 2008 · Bloomington, Mn
- S•••••• N••••••• • C••••••• I••••••••• to W•••••• S••••••••• I•••left Aug 7, 2019, registered Aug 6, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- R•• C•••••• M••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Nov 27, 2013, registered Nov 13, 2013 (-14 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• I••••••••• L•• to R•• C•••••• M••••••• L••left May 28, 2008, registered May 23, 2008 (-5 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address