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.
J••• R•••••• L•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 8, 2019 · Bismarck, Nd
- K•••••••• W••••• M••••••••• L•• independent RIAApr 16, 2019 to May 8, 2019 · Bismarck, Nd
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Apr 11, 2019 · Sioux Falls, Sd
- W•••• F•••• I••••••••• L•• unclassifiedApr 9, 2002 to Jan 3, 2011 · Moorhead, Mn
- K•••••••• W••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 8, 2019, registered May 8, 2019 (0 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to K•••••••• W••••• M••••••••• L••left Apr 11, 2019, registered Apr 16, 2019 (5 days) · Wirehouse to independent RIA
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address