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.
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T•••• N••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Saint Paul, Mn
- U••• B•••••• I••••••••• I••• formerJun 2, 2023 to Feb 13, 2026 · Saint Paul, Mn
- U••• B•••••• A•••••••• L•• BD affiliatedNov 7, 2019 to Jun 1, 2023 · Orange, Ca
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left Jun 1, 2023, registered Jun 2, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- T•••• N•••• left U••• B•••••• A•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-06-02)Jun 1, 2023 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address