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.
S•••• M•••• A•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 30, 2024 · Maple Grove, Mn
- F•••••••• D••••••••• G••••• I••• formerNov 22, 2016 to Feb 5, 2024 · Maple Grove, Mn
- O•••• W•••••• I••• BD affiliatedJun 24, 2016 to Feb 1, 2024 · Maple Grove, Mn
- F•••••••• D••••••••• G••••• I••• to L•• F•••••••• L••left Feb 5, 2024, registered Jan 30, 2024 (-6 days) · RIA to affiliated broker-dealer or bank · moved with a team
- O•••• W•••••• I••• to F•••••••• D••••••••• G••••• I•••left Feb 1, 2024, registered Nov 22, 2016 (-2627 days) · Other
- S•••• M•••• A••••••• left F•••••••• D••••••••• G••••• I••• for L•• F•••••••• L•• (registered 2024-01-30)Feb 5, 2024 · Advisor changed firm · fact
- S•••• M•••• A••••••• left O•••• W•••••• I••• for F•••••••• D••••••••• G••••• I••• (registered 2016-11-22)Feb 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address