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.
P•••• J••••••• T••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · St Paul, Mn
- S••••••• F•••••••• S•••••••• I••• formerMay 17, 2018 to Aug 10, 2023 · St. Paul, Mn
- C•• S••••••••• L•• formerMay 17, 2018 to Nov 8, 2021 · St Paul, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDApr 26, 2011 to Apr 6, 2018 · Minneapolis, Mn
- O•••• F•• I••• formerJun 2, 2010 to Apr 18, 2011 · Edina, Mn
- F•••• C•••••• F•••••••• P•••••••• I••• formerMay 11, 2009 to Apr 22, 2010 · Bloomington, Mn
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Nov 8, 2021, registered May 17, 2018 (-1271 days) · channel change inside one enterprise, not a move · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to C•• S••••••••• L••left Apr 6, 2018, registered May 17, 2018 (41 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to A••••••••• F•••••••• S•••••••• L••left Apr 18, 2011, registered Apr 26, 2011 (8 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to O•••• F•• I•••left Apr 22, 2010, registered Jun 2, 2010 (41 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address