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••• A•• A••••••
- B••••••••• W••••• A•••••••• L•• no RAUM currentsince Jan 6, 2020 · Oakdale, Mn
- R•••• I••••••••• A••••••• L•• BD affiliatedFeb 3, 2017 to Jan 3, 2020 · Woodbury, Mn
- W••••• W•••• A•••••••• I•• independent RIAAug 2, 2016 to Mar 29, 2017 · Woodbury, Mn
- O••••••••• S••••••••• I••• BD affiliatedJul 18, 2016 to Aug 15, 2016 · Excelsior, Mn
- R•••• I••••••••• A••••••• L•• to B••••••••• W••••• A•••••••• L••left Jan 3, 2020, registered Jan 6, 2020 (3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W••••• W•••• A•••••••• I•• to R•••• I••••••••• A••••••• L••left Mar 29, 2017, registered Feb 3, 2017 (-54 days) · Other · moved with a team
- O••••••••• S••••••••• I••• to W••••• W•••• A•••••••• I••left Aug 15, 2016, registered Aug 2, 2016 (-13 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
- No RAUM reportedderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address