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.
R••• J••• F•••
- O•••• I••••••••• I••• BD affiliated currentsince Jul 1, 2016 · Milaca, Mn
- E•••• N••••••• S••••••••• I••• formerJan 14, 2016 to Jul 1, 2016 · Mora, Mn
- I••••• F•••••••• C••••••••• formerMar 1, 2012 to Jan 14, 2016 · Appleton, Wi
- C••• B•••••••• S•••••••• I••• formerFeb 10, 2006 to Mar 2, 2012 · Sandstone, Mn
- E•••• N••••••• S••••••••• I••• to O•••• I••••••••• I•••left Jul 1, 2016, registered Jul 1, 2016 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to E•••• N••••••• S••••••••• I•••left Jan 14, 2016, registered Jan 14, 2016 (0 days) · Other
- C••• B•••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Mar 2, 2012, registered Mar 1, 2012 (-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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address