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.
C••••• L••• A••••
- O•••• W•••••• I••• BD affiliated currentsince Mar 27, 2026 · Lino Lakes, Mn
- O•••• W•••••• I••• BD affiliatedMar 1, 2024 to Jan 29, 2026 · Minneapolis, Mn
- F•••• F•••••••• independent RIAFeb 28, 2014 to Mar 1, 2024 · Minneapolis, Mn
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedNov 14, 2013 to Dec 5, 2013 · Minneapolis, Mn
- F•••• F•••••••• to O•••• W•••••• I•••left Mar 1, 2024, registered Mar 1, 2024 (0 days) · RIA to affiliated broker-dealer or bank
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to F•••• F••••••••left Dec 5, 2013, registered Feb 28, 2014 (85 days) · Other
- C••••• L••• A•••• left F•••• F•••••••• for O•••• W•••••• I••• (registered 2024-03-01)Mar 1, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address