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•••••• J•• R•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 7, 2017 · Mankato, Mn
- S••••••••• A•••••• A•••••••• I••• formerDec 8, 2012 to Nov 7, 2017 · Mankato, Mn
- U••••••••• W••••• M••••••••• L•• independent RIAOct 1, 2012 to Dec 19, 2012 · Mankato, Mn
- S••••••••• A•••••• A•••••••• I••• formerOct 25, 2011 to Nov 14, 2012 · Mankato, Mn
- C••••• I••••••••• S••••••• L•• formerOct 11, 2006 to Sep 10, 2008 · Mankato, Mn
- W•••• F•••• I••••••••• L•• unclassifiedDec 21, 2005 to Oct 10, 2006 · Mankato, Mn
- S••••••••• A•••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 7, 2017, registered Nov 7, 2017 (0 days) · Other
- U••••••••• W••••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Dec 19, 2012, registered Dec 8, 2012 (-11 days) · Other
- S••••••••• A•••••• A•••••••• I••• to U••••••••• W••••• M••••••••• L••left Nov 14, 2012, registered Oct 1, 2012 (-44 days) · Other
- C••••• I••••••••• S••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Sep 10, 2008, registered Oct 25, 2011 (1140 days) · Other
- W•••• F•••• I••••••••• L•• to C••••• I••••••••• S••••••• L••left Oct 10, 2006, registered Oct 11, 2006 (1 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
- 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