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.
S••••• N•••••• K••••••••
- R•• C•••••• M••••••• L•• national BD currentsince Nov 21, 2025 · St. Cloud, Mn
- P•••••••• A••••••• national BDJul 23, 2014 to Dec 31, 2014 · Sauk Rapids, Mn
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 9, 2012 · Sartell, Mn
- W•••• F•••• I••••••••• L•• unclassifiedFeb 17, 2009 to Jan 3, 2011 · Sartell, Mn
- W•••• F•••• I••••••••• L•• unclassifiedSep 30, 2004 to Oct 20, 2008 · Saint Cloud, Mn
- P•••••••• A••••••• to R•• C•••••• M••••••• L••left Dec 31, 2014, registered Nov 21, 2025 (3978 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to P•••••••• A•••••••left Aug 9, 2012, registered Jul 23, 2014 (713 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address