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.
T••• S••••••
- M••••• S•••••• wirehouse currentsince Nov 7, 2025 · St. Paul, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 1, 2021 to Nov 11, 2025 · Bloomington, Mn
- T••••••• A•••••• N••••••• L•• BD affiliatedMay 20, 2020 to Feb 24, 2021 · Minneapolis, Mn
- T••••••• I••••••••• M••••••••• I••• BD affiliatedAug 2, 2017 to Jul 15, 2020 · Lake Elmo, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 22, 2010 to Aug 2, 2017 · Deer Park, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Nov 11, 2025, registered Nov 7, 2025 (-4 days) · Wirehouse to wirehouse
- T••••••• A•••••• N••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 24, 2021, registered Mar 1, 2021 (5 days) · Affiliated broker-dealer or bank to wirehouse
- T••••••• I••••••••• M••••••••• I••• to T••••••• A•••••• N••••••• L••left Jul 15, 2020, registered May 20, 2020 (-56 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••••• I••••••••• M••••••••• I•••left Aug 2, 2017, registered Aug 2, 2017 (0 days) · Other
- T••• S•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2025-11-07)Nov 11, 2025 · a•••••• firm change · 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address