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.
A••• S•••• E••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 7, 2020 · Lakeville, Mn
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Mar 5, 2019 · Waterville, Mn
- I••••••••• C•••••• O• A••••••• I••• formerMar 20, 2007 to Nov 29, 2017 · Dundas, Mn
- W•••• F•••• I••••••••• L•• unclassifiedMar 11, 2005 to Feb 20, 2007 · Shakopee, Mn
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 5, 2019, registered Apr 7, 2020 (399 days) · RIA to affiliated broker-dealer or bank
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to I••••••••• C•••••• O• A••••••• I•••left Feb 20, 2007, registered Mar 20, 2007 (28 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address