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.
H••••• J• S••••••
- M•••• • P•••• mixed wealth currentsince Jan 31, 2025 · St. Paul, Mn
- M•••• • P•••• mixed wealthSep 26, 2023 to Jan 1, 2025 · St. Paul, Mn
- O•••• W••••• M••••••••• L•• independent RIAOct 3, 2019 to Aug 22, 2023 · Altoona, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJan 24, 2019 to Sep 24, 2019 · Minneapolis, Mn
- L••••••• W••••• C•••••• M••••••••• asset managerNov 4, 2013 to Sep 11, 2018 · Minneapolis, Mn
- O•••• W••••• M••••••••• L•• to M•••• • P••••left Aug 22, 2023, registered Sep 26, 2023 (35 days) · RIA to RIA
- T••••••• I••••••••• M••••••••• I••• to O•••• W••••• M••••••••• L••left Sep 24, 2019, registered Oct 3, 2019 (9 days) · Affiliated broker-dealer or bank to independent RIA
- L••••••• W••••• C•••••• M••••••••• to T••••••• I••••••••• M••••••••• I•••left Sep 11, 2018, registered Jan 24, 2019 (135 days) · Other
- H••••• J• S•••••• left O•••• W••••• M••••••••• L•• for M•••• • P•••• (registered 2023-09-26)Aug 22, 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address