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•••• L••• N••••••
- R••••• A•••• independent RIA currentsince Feb 1, 2021 · Hermantown, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 23, 2014 to Feb 19, 2021 · Duluth, Mn
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 23, 2014 · Duluth, Mn
- W•••• F•••• I••••••••• L•• unclassifiedDec 21, 2010 to Jan 3, 2011 · Duluth, Mn
- U••• B•••••• I••••••••• I••• formerDec 4, 2007 to Dec 23, 2010 · Virginia, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R••••• A••••left Feb 19, 2021, registered Feb 1, 2021 (-18 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 23, 2014, registered Sep 23, 2014 (0 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to W•••• F•••• I••••••••• L••left Dec 23, 2010, registered Dec 21, 2010 (-2 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address