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.
E••• S••••• P•••
- L•• F•••••••• L•• BD affiliated currentsince Oct 9, 2024 · Anoka, Mn
- G••••••• W••••• M••••••••• BD affiliatedMay 23, 2018 to Aug 15, 2024 · Arden Hills, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDSep 8, 2015 to Aug 17, 2016 · Salt Lake City, Ut
- G••••••• W••••• M••••••••• to L•• F•••••••• L••left Aug 15, 2024, registered Oct 9, 2024 (55 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to G••••••• W••••• M•••••••••left Aug 17, 2016, registered May 23, 2018 (644 days) · Affiliated broker-dealer or bank to another
- E••• S••••• P••• left G••••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2024-10-09)Aug 15, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address