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••••• K•••••• R•••••••••
- O•••• W•••••• I••• bd a••••••••• wealth currentsince Oct 10, 2019 · Plymouth, Mn
- A••••••••• A•••••••• I••• unclassifiedMar 18, 2020 to Mar 24, 2021 · Rochester, Mi
- C••••• A•••••• N••••••• L•• formerFeb 22, 2018 to Oct 8, 2019 · Minnetonka, Mn
- A••••••••• W••••• P••••••• independent RIAJan 21, 2014 to Oct 22, 2019 · Minnetonka, Mn
- C•••••• L•• independent RIADec 2, 2004 to Apr 19, 2013 · Rockford, Il
- V••• F•••••••• A•••••••• I••• bd a••••••••• wealthAug 15, 2002 to Dec 1, 2004 · Minneapolis, Mn
- A••••••••• A•••••••• I••• to no registered destinationleft Mar 24, 2021 · Departure, no registered destination
- A••••••••• W••••• P••••••• to C••••• A•••••• N••••••• L••left Oct 22, 2019, registered Feb 22, 2018 (-607 days) · Other
- C••••• A•••••• N••••••• L•• to O•••• W•••••• I•••left Oct 8, 2019, registered Oct 10, 2019 (2 days) · Affiliated broker-dealer or bank to another
- C•••••• L•• to A••••••••• W••••• P•••••••left Apr 19, 2013, registered Jan 21, 2014 (277 days) · Other
- V••• F•••••••• A•••••••• I••• to C•••••• L••left Dec 1, 2004, registered Dec 2, 2004 (1 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address