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•••• F•••• A••••••• wirehouse currentsince Aug 4, 2023 · Baxter, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 25, 2017 to Aug 8, 2023 · Brainerd, Mn
- U••••••••• W••••• M••••••••• L•• independent RIAApr 7, 2016 to Apr 13, 2017 · Glenwood, Mn
- S••••••••• A•••••• A•••••••• I••• formerJul 16, 2015 to Apr 7, 2016 · Glenwood, Mn
- F•••••••• L•• formerAug 20, 2012 to Jul 27, 2015 · Glenwood, Mn
- E•••• S••••••••• L•• BD affiliatedMay 7, 2012 to Aug 16, 2012 · Alexandria, Mn
- C••••• I••••••••• S••••••• L•• formerFeb 18, 2004 to Sep 19, 2005 · Ada, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••left Aug 8, 2023, registered Aug 4, 2023 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- U••••••••• W••••• M••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 13, 2017, registered Apr 25, 2017 (12 days) · Other
- S••••••••• A•••••• A•••••••• I••• to U••••••••• W••••• M••••••••• L••left Apr 7, 2016, registered Apr 7, 2016 (0 days) · Other
- F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jul 27, 2015, registered Jul 16, 2015 (-11 days) · Other · moved with a team
- E•••• S••••••••• L•• to F•••••••• L••left Aug 16, 2012, registered Aug 20, 2012 (4 days) · Other
- C••••• I••••••••• S••••••• L•• to E•••• S••••••••• L••left Sep 19, 2005, registered May 7, 2012 (2422 days) · Other
- T•••••• A•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for W•••• F•••• A••••••• (registered 2023-08-04)Aug 8, 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address