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.
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- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliated currentsince Aug 23, 2018 · Minot, Nd
- B•• P•••••••• I••• BD affiliated currentsince Jul 22, 2013 · Minot, Nd
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerSep 4, 2012 to Jul 16, 2013 · Fargo, Nd
- S••••••••• F•••••••• G••••• I••• independent RIADec 11, 2006 to Jul 24, 2013 · Minot, Nd
- S••••••••• F•••••••• G••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jul 24, 2013, registered Sep 4, 2012 (-323 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to B•• P•••••••• I•••left Jul 16, 2013, registered Jul 22, 2013 (6 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address