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.
W•••• J••• D•••••••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Jun 26, 2025 · La Crosse, Wi
- O•••• W•••••• I••• BD affiliatedJul 2, 2024 to Apr 29, 2025 · Rochester, Mn
- W•••• F•••• A••••••• wirehouseNov 6, 2018 to Jul 11, 2024 · Minneapolis, Mn
- O•••• W•••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 29, 2025, registered Jun 26, 2025 (58 days) · Other
- W•••• F•••• A••••••• to O•••• W•••••• I•••left Jul 11, 2024, registered Jul 2, 2024 (-9 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• J••• D••••••••• left O•••• W•••••• I••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2025-06-26)Apr 29, 2025 · Advisor changed firm · fact
- W•••• J••• D••••••••• left W•••• F•••• A••••••• for O•••• W•••••• I••• (registered 2024-07-02)Jul 11, 2024 · 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
- No RAUM reportedderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address