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.
J••••• E• M•••••••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Jan 24, 2023 · Lewiston, Mn
- F•••• F•••••••• independent RIAJan 14, 2015 to Dec 31, 2022 · St Charles, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDDec 10, 2013 to Jan 26, 2015 · St. Charles, Mn
- F•••• F•••••••• to T••••••• I••••••••• M••••••••• I•••left Dec 31, 2022, registered Jan 24, 2023 (24 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to F•••• F••••••••left Jan 26, 2015, registered Jan 14, 2015 (-12 days) · Other · moved with a team
- J••••• E• M••••••••• left F•••• F•••••••• for T••••••• I••••••••• M••••••••• I••• (registered 2023-01-24)Dec 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address