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••••• R• J••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 29, 2018 · Grafton, Wi
- C•••••• O•• A•••••••• L•• formerJul 28, 2015 to Mar 19, 2018 · New Orleans, La
- W••••••• F•••••••• S•••••••• I••• formerJan 28, 2014 to May 2, 2014 · Oakdale, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDOct 3, 2006 to Aug 29, 2007 · Minneapolis, Mn
- C•••••• O•• A•••••••• L•• to J••• M••••• S••••••••• L••left Mar 19, 2018, registered Mar 29, 2018 (10 days) · Other · moved with a team
- W••••••• F•••••••• S•••••••• I••• to C•••••• O•• A•••••••• L••left May 2, 2014, registered Jul 28, 2015 (452 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Aug 29, 2007, registered Jan 28, 2014 (2344 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address