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•••••• J•••• P•••••
- M•••••• BD affiliated currentsince Mar 15, 2019 · Sioux Falls, Sd
- 1•• G••••• A••••••• I•• formerApr 18, 2013 to Mar 12, 2019 · Sioux Falls, Sd
- A•••••• P••••••• P•••••••• I••• BD affiliatedApr 22, 2003 to Feb 15, 2013 · Sioux Falls, Sd
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 28, 1999 to Mar 31, 2003 · Sioux Falls, Sd
- 1•• G••••• A••••••• I•• to M••••••left Mar 12, 2019, registered Mar 15, 2019 (3 days) · Affiliated broker-dealer or bank to independent RIA
- A•••••• P••••••• P•••••••• I••• to 1•• G••••• A••••••• I••left Feb 15, 2013, registered Apr 18, 2013 (62 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••• P••••••• P•••••••• I•••left Mar 31, 2003, registered Apr 22, 2003 (22 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