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.
R••••• D••••• M••••••
- O•••• W•••••• I••• BD affiliated currentsince Dec 9, 2024 · Rochester, Mn
- L•• F•••••••• L•• BD affiliatedMar 31, 2020 to Dec 18, 2024 · Rochester, Mn
- D••••••••• F•••••••• A••••••• G••••• I••• unclassifiedDec 21, 2015 to Dec 7, 2018 · Rochester, Mn
- F•• S••••••••• C••••••••• formerJan 31, 2011 to Apr 3, 2020 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 16, 2007 to Dec 21, 2010 · Rochester, Mn
- L•• F•••••••• L•• to O•••• W•••••• I•••left Dec 18, 2024, registered Dec 9, 2024 (-9 days) · Affiliated broker-dealer or bank to another
- F•• S••••••••• C••••••••• to D••••••••• F•••••••• A••••••• G••••• I•••left Apr 3, 2020, registered Dec 21, 2015 (-1565 days) · Other
- D••••••••• F•••••••• A••••••• G••••• I••• to L•• F•••••••• L••left Dec 7, 2018, registered Mar 31, 2020 (480 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•• S••••••••• C•••••••••left Dec 21, 2010, registered Jan 31, 2011 (41 days) · Other
- R••••• D••••• M•••••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2024-12-09)Dec 18, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address