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••••• M••• B••••••
- R•• C•••••• M••••••• L•• national BD currentsince Jun 27, 2024 · New York, Ny
- R•• C•••••• M••••••• L•• national BDNov 19, 2021 to Jun 29, 2023 · Denver, Co
- W•••• F•••• A••••••• wirehouseNov 8, 2016 to Nov 9, 2021 · Minneapolis, Mn
- W••••••• F•••••••• S•••••••• I••• formerApr 23, 2015 to Jun 7, 2016 · Oakdale, Mn
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Mar 19, 2015 · Schaumburg, Il
- C••••• I••••••••• S••••••• L•• formerAug 27, 2013 to Jan 21, 2014 · St Cloud, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDMay 26, 2010 to Nov 29, 2012 · Minneapolis, Mn
- R•• C•••••• M••••••• L•• national BDDec 21, 2007 to Nov 21, 2008 · Minneapolis, Mn
- C•••••• L•• independent RIADec 16, 2004 to Dec 6, 2007 · Minneapolis, Mn
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Nov 9, 2021, registered Nov 19, 2021 (10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W••••••• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jun 7, 2016, registered Nov 8, 2016 (154 days) · Other
- C••••• I••••••••• A••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Mar 19, 2015, registered Apr 23, 2015 (35 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• S••••••• L••left Nov 29, 2012, registered Aug 27, 2013 (271 days) · Other
- R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 21, 2008, registered May 26, 2010 (551 days) · Affiliated broker-dealer or bank to another
- C•••••• L•• to R•• C•••••• M••••••• L••left Dec 6, 2007, registered Dec 21, 2007 (15 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address