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.
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- W•••• F•••• A••••••• wirehouse currentsince Apr 17, 2026 · Boca Raton, Fl
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• independent RIAJan 29, 2024 to Feb 13, 2026 · Golden Valley, Mn
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedMar 17, 2020 to Dec 15, 2020 · St. Paul, Mn
- T••••••• I••••••••• M••••••••• I••• BD affiliatedSep 5, 2019 to Mar 13, 2020 · Golden Valley, Mn
- C••••• A•••••• N••••••• L•• formerMar 27, 2017 to Aug 23, 2019 · Minneapolis, Mn
- W•••• F•••• A••••••• wirehouseNov 2, 2012 to Jul 6, 2015 · Minneapolis, Mn
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• to W•••• F•••• A•••••••left Feb 13, 2026, registered Apr 17, 2026 (63 days) · RIA to wirehouse
- T••••••••• R••••••••• A•••••••• L•• to T•• O•• R•••• F•••••••• S••••••• G••••• I••left Dec 15, 2020, registered Jan 29, 2024 (1140 days) · Affiliated broker-dealer or bank to independent RIA
- T••••••• I••••••••• M••••••••• I••• to T••••••••• R••••••••• A•••••••• L••left Mar 13, 2020, registered Mar 17, 2020 (4 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Aug 23, 2019, registered Sep 5, 2019 (13 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••••• A•••••• N••••••• L••left Jul 6, 2015, registered Mar 27, 2017 (630 days) · Other
- L••• N••••• left T•• O•• R•••• F•••••••• S••••••• G••••• I•• for W•••• F•••• A••••••• (registered 2026-04-17)Feb 13, 2026 · a•••••• firm change · 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address