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.
J•••• L•• J•••••
- G••••••• W••••• M••••••••• BD affiliated currentsince Jul 9, 2019 · Arden Hills, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDSep 11, 2017 to Jun 27, 2019 · Minneapolis, Mn
- P•••• S••••••••• L•• no RAUMApr 22, 2014 to Apr 22, 2014 · Plymouth, Mn
- C••••• A•••••• N••••••• L•• formerNov 21, 2013 to Mar 26, 2014 · Maple Grove, Mn
- E••••• J•••• national BDJan 22, 2013 to Feb 12, 2013 · St Louis, Mo
- A••••••••• F•••••••• S•••••••• L•• to G••••••• W••••• M•••••••••left Jun 27, 2019, registered Jul 9, 2019 (12 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 22, 2014, registered Sep 11, 2017 (1238 days) · Other
- C••••• A•••••• N••••••• L•• to P•••• S••••••••• L••left Mar 26, 2014, registered Apr 22, 2014 (27 days) · Other
- E••••• J•••• to C••••• A•••••• N••••••• L••left Feb 12, 2013, registered Nov 21, 2013 (282 days) · Other
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address