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•••••• D••• P••••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 10, 2019 · Rapid City, Sd
- S••••••••• A•••••• A•••••••• I••• formerJul 31, 2015 to Dec 9, 2019 · Rapid City, Sd
- C•••••• F•••••••• A••••••• L•• independent RIADec 12, 2007 to Aug 20, 2012 · Rapid City, Sd
- F•••••••• L•• formerNov 30, 2007 to Jul 28, 2015 · Rapid City, Sd
- P••••• W•••••• L•• unclassifiedNov 23, 2005 to Nov 19, 2007 · Rapid City, Sd
- L•• F•••••••• L•• BD affiliatedNov 14, 2005 to Nov 26, 2007 · Rapid City, Sd
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 25, 2004 to Nov 8, 2005 · Rapid City, Sd
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Dec 9, 2019, registered Dec 10, 2019 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•••••••• L•• to C•••••• F•••••••• A••••••• L••left Jul 28, 2015, registered Dec 12, 2007 (-2785 days) · Other
- C•••••• F•••••••• A••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Aug 20, 2012, registered Jul 31, 2015 (1075 days) · Other
- L•• F•••••••• L•• to P••••• W•••••• L••left Nov 26, 2007, registered Nov 23, 2005 (-733 days) · Other
- P••••• W•••••• L•• to F•••••••• L••left Nov 19, 2007, registered Nov 30, 2007 (11 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Nov 8, 2005, registered Nov 14, 2005 (6 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
- 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