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.
D••••••• J•••••• P••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · St Paul, Mn
- S••••••• F•••••••• S•••••••• I••• formerMay 9, 2023 to Aug 10, 2023 · St Paul, Mn
- P•••••••• S••••••••• I••• BD affiliatedDec 19, 2003 to Mar 8, 2016 · Des Monies, Ia
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Mar 8, 2016, registered May 9, 2023 (2618 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address