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.
L••• W• R••••••••
- P••••••••• C•••••• A••••••• independent RIA currentsince Oct 5, 2022 · Westlake, Oh
- P•••••••• S••••••••• I••• BD affiliatedMay 24, 2018 to Oct 12, 2022 · Lake Elmo, Mn
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Oct 19, 2017 · Plymouth, Mn
- M•• F•••••••• S•••••••• I••• formerJan 15, 2013 to Mar 25, 2017 · Minnetonka, Mn
- P•••••••• S••••••••• I••• to P••••••••• C•••••• A•••••••left Oct 12, 2022, registered Oct 5, 2022 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to P•••••••• S••••••••• I•••left Oct 19, 2017, registered May 24, 2018 (217 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- L••• W• R•••••••• left P•••••••• S••••••••• I••• for P••••••••• C•••••• A••••••• (registered 2022-10-05)Oct 12, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address