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.
R••••• N••••• A•••• I••
- S••••• W••••• M••••••••• independent RIA currentsince Sep 3, 2025 · Rockford, Il
- P••••••••• P•••••••• L•• formerJan 29, 2014 to Oct 20, 2025 · St. Paul, Mn
- C•••••• C•••••• M••••••••• formerJan 4, 2006 to Dec 31, 2007 · Northfield, Mn
- P••••••••• P•••••••• L•• to S••••• W••••• M•••••••••left Oct 20, 2025, registered Sep 3, 2025 (-47 days) · RIA to RIA · moved with a team
- C•••••• C•••••• M••••••••• to P••••••••• P•••••••• L••left Dec 31, 2007, registered Jan 29, 2014 (2221 days) · Other
- R••••• N••••• A•••• I•• left P••••••••• P•••••••• L•• for S••••• W••••• M••••••••• (registered 2025-09-03)Oct 20, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address