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•••• F•••• W••••••••
- W•••••••• C•••••• M••••••••• L•• former currentsince Jan 4, 2017 · St. Paul, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 13, 2008 to Sep 19, 2016 · Stillwater, Mn
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Jun 26, 2008 · Edina, Mn
- P•••• S•••••• • C•• institutionalSep 26, 2005 to Aug 12, 2006 · Minneapolis, Mn
- S••••• C•••••• M••••••••• I•• unclassifiedAug 26, 2002 to Feb 5, 2004 · Menomonee Falls, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••••• C•••••• M••••••••• L••left Sep 19, 2016, registered Jan 4, 2017 (107 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 26, 2008, registered Jun 13, 2008 (-13 days) · Wirehouse to wirehouse
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
- S••••• C•••••• M••••••••• I•• to P•••• S•••••• • C••left Feb 5, 2004, registered Sep 26, 2005 (599 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
- Former SEC-registered adviserderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address