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.
B•••••• C•••••• S••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Delano, Mn
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Jun 21, 2022 · Hutchinson, Mn
- I••••••••• C•••••• O• A••••••• I••• formerJan 30, 2014 to Dec 6, 2017 · Hutchinson, Mn
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 21, 2022, registered Jun 29, 2023 (373 days) · RIA to affiliated broker-dealer or bank · moved with a team
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Dec 6, 2017, registered Nov 29, 2017 (-7 days) · corporate re-registration, not a move
- B•••••• C•••••• S•••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)Jun 21, 2022 · 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
- 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