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.
L••• M•••• B••••••
- O•••• I••••••••• I••• BD affiliated currentsince May 14, 2019 · Bloomington, Mn
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 16, 2017 to May 3, 2019 · Saint Paul, Mn
- T• A••••••••• I••• formerMar 16, 2017 to May 3, 2019 · St. Paul, Mn
- C••• B•••••••• S•••••••• I••• formerFeb 17, 2012 to Feb 9, 2017 · N St. Paul, Mn
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 27, 2009 to May 17, 2011 · Cedar Rapids, Ia
- U••• B•••••• I••••••••• I••• formerJun 2, 2008 to Jun 18, 2009 · Burnsville, Mn
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left May 3, 2019, registered Mar 16, 2017 (-778 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to O•••• I••••••••• I•••left May 3, 2019, registered May 14, 2019 (11 days) · Other
- C••• B•••••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 9, 2017, registered Mar 16, 2017 (35 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••left May 17, 2011, registered Feb 17, 2012 (276 days) · Other
- U••• B•••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jun 18, 2009, registered Jul 27, 2009 (39 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address