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••••• M••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jan 5, 2022 · Minneapolis, Mn
- A••••• F•••••••• A•••••••• L•• independent RIAJun 20, 2019 to Nov 23, 2021 · Charlotte, Nc
- F•• W••••• M••••••••• L•• BD affiliatedApr 23, 2019 to Jun 5, 2019 · West Des Moines, Ia
- L•• F•••••••• L•• BD affiliatedMay 7, 2015 to May 25, 2017 · Eagan, Mn
- E••••• J•••• national BDNov 7, 2014 to Jan 21, 2015 · Minneapolis, Mn
- A••••• F•••••••• A•••••••• L•• to E•••••• A••••••• G••••• L••left Nov 23, 2021, registered Jan 5, 2022 (43 days) · Other
- F•• W••••• M••••••••• L•• to A••••• F•••••••• A•••••••• L••left Jun 5, 2019, registered Jun 20, 2019 (15 days) · Other
- L•• F•••••••• L•• to F•• W••••• M••••••••• L••left May 25, 2017, registered Apr 23, 2019 (698 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Jan 21, 2015, registered May 7, 2015 (106 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address