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.
M•••••• T• T••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Mar 17, 2022 · Plymouth, Mn
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Plymouth, Mn
- I•••••••• F•••••••• G•••• formerSep 16, 2015 to Jul 25, 2022 · Plymouth, Mn
- U•• F•••••••• S••••••• I••• wirehouseFeb 3, 2014 to Sep 24, 2015 · Wayzata, Mn
- I•••••••• F•••••••• G•••• to L•• F•••••••• L••left Jul 25, 2022, registered Feb 14, 2018 (-1622 days) · RIA to RIA
- U•• F•••••••• S••••••• I••• to I•••••••• F•••••••• G••••left Sep 24, 2015, registered Sep 16, 2015 (-8 days) · Other
- M•••••• T• T•••• left I•••••••• F•••••••• G•••• for L•• F•••••••• L•• (registered 2018-02-14)Jul 25, 2022 · a•••••• firm change · 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