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.
W•••••• J•••• M••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 28, 2025 · Cody, Wy
- C••••••••• F•••••••• N•••••• national BDOct 6, 2017 to Mar 3, 2025 · Crookston, Mn
- I••••••••• C•••••• O• A••••••• I••• formerJul 10, 2012 to Oct 6, 2017 · Crookston, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 17, 2009 to Jul 11, 2012 · Crookston, Mn
- I••••• F•••••••• C••••••••• formerJan 18, 2005 to Aug 7, 2009 · Crookston, Mn
- W•••••• • R••• formerMar 17, 2004 to Jan 12, 2005 · Fargo, Nd
- C••••••••• F•••••••• N•••••• to A••••••••• F•••••••• S•••••••• L••left Mar 3, 2025, registered Feb 28, 2025 (-3 days) · Affiliated broker-dealer or bank to another
- I••••••••• C•••••• O• A••••••• I••• to C••••••••• F•••••••• N••••••left Oct 6, 2017, registered Oct 6, 2017 (0 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to I••••••••• C•••••• O• A••••••• I•••left Jul 11, 2012, registered Jul 10, 2012 (-1 days) · Other
- I••••• F•••••••• C••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 7, 2009, registered Aug 17, 2009 (10 days) · Other
- W•••••• • R••• to I••••• F•••••••• C•••••••••left Jan 12, 2005, registered Jan 18, 2005 (6 days) · Other
- W•••••• J•••• M•••••••• left C••••••••• F•••••••• N•••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-02-28)Mar 3, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address