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.
P••••••• M••••••• V•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 25, 2019 · Eau Claire, Wi
- U•• F•••••••• S••••••• I••• wirehouseOct 2, 2015 to Nov 19, 2018 · Minneapolis, Mn
- L•• F•••••••• L•• BD affiliatedApr 10, 2015 to Oct 2, 2015 · Plymouth, Mn
- F•••• A••••••• independent RIAJan 21, 2015 to Mar 18, 2015 · Plymouth, Mn
- R••••• W• B•••• • C•• I••••••••• mixed wealthApr 7, 2008 to Jun 5, 2013 · Edina, Mn
- W•••• F•••• I••••••••• L•• unclassifiedSep 25, 2006 to Apr 7, 2008 · Rogers, Mn
- W•••• F•••• I••••••••• L•• unclassifiedJul 23, 2004 to Jun 1, 2005 · St. Cloud, Mn
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 19, 2018, registered Apr 25, 2019 (157 days) · Wirehouse to wirehouse
- L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••left Oct 2, 2015, registered Oct 2, 2015 (0 days) · Other
- F•••• A••••••• to L•• F•••••••• L••left Mar 18, 2015, registered Apr 10, 2015 (23 days) · Other
- R••••• W• B•••• • C•• I••••••••• to F•••• A•••••••left Jun 5, 2013, registered Jan 21, 2015 (595 days) · Other
- W•••• F•••• I••••••••• L•• to R••••• W• B•••• • C•• I•••••••••left Apr 7, 2008, registered Apr 7, 2008 (0 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