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.
M••••••• J•••• F•••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 10, 2025 · Fargo, Nd
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Sep 9, 2024 · Fargo, Nd
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMar 24, 2008 to Jan 2, 2009 · Fargo, Nd
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliatedSep 4, 2007 to Mar 27, 2008 · Plymouth, Mn
- L•• F•••••••• L•• BD affiliatedMar 18, 2003 to Mar 20, 2008 · Fargo, Nd
- T•• 4••• C•••••• unclassifiedDec 9, 2002 to Dec 31, 2005 · Fargo, Nd
- W••••• S••••• A••••••• I•• unclassifiedNov 22, 2000 to Mar 10, 2003 · Fargo, Nd
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Sep 9, 2024, registered Oct 10, 2025 (396 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- W••••• E••••••••• A••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Mar 27, 2008, registered Mar 24, 2008 (-3 days) · Other
- L•• F•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Mar 20, 2008, registered Sep 4, 2007 (-198 days) · Other
- T•• 4••• C•••••• to L•• F•••••••• L••left Dec 31, 2005, registered Mar 18, 2003 (-1019 days) · Other
- W••••• S••••• A••••••• I•• to T•• 4••• C••••••left Mar 10, 2003, registered Dec 9, 2002 (-91 days) · Other
- M••••••• J•••• F••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2025-10-10)Sep 9, 2024 · 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