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••• D•••• O••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 14, 2015 · Fargo, Nd
- M•••• C••••••• A••••••• S•••••• BD affiliatedMay 1, 2012 to Dec 10, 2015 · West Fargo, Nd
- S•••••••• F••••••••• I••• formerMar 15, 2010 to Apr 19, 2012 · Bismarck, Nd
- I••••••••• C•••••• O• A••••••• I••• formerAug 6, 2007 to Feb 2, 2010 · Fargo, Nd
- M•••• C••••••• A••••••• S•••••• to L•• F•••••••• L••left Dec 10, 2015, registered Dec 14, 2015 (4 days) · Other · moved with a team
- S•••••••• F••••••••• I••• to M•••• C••••••• A••••••• S••••••left Apr 19, 2012, registered May 1, 2012 (12 days) · Other
- I••••••••• C•••••• O• A••••••• I••• to S•••••••• F••••••••• I•••left Feb 2, 2010, registered Mar 15, 2010 (41 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