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.
M•••••• D•••• T••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 9, 2023 · Waite Park, Mn
- F•••• F•••••••• independent RIADec 3, 2014 to Oct 3, 2023 · Waite Park, Mn
- L•• F•••••••• L•• BD affiliatedAug 10, 2009 to Dec 2, 2014 · St Cloud, Mn
- I••••• F•••••••• C••••••••• formerFeb 10, 2003 to Aug 7, 2009 · St. Cloud, Mn
- I••••• F•••••••• C••••••••• formerAug 21, 2001 to Dec 31, 2002 · Crookston, Mn
- F•••• F•••••••• to L•• F•••••••• L••left Oct 3, 2023, registered Oct 9, 2023 (6 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to F•••• F••••••••left Dec 2, 2014, registered Dec 3, 2014 (1 days) · Other
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Aug 7, 2009, registered Aug 10, 2009 (3 days) · Other
- M•••••• D•••• T•••• left F•••• F•••••••• for L•• F•••••••• L•• (registered 2023-10-09)Oct 3, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address