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.
A••••• K••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 20, 2021 · Newton, Ma
- S••••••• F•••••••• S•••••••• I••• formerJan 15, 2020 to Sep 8, 2021 · Bloomington, Mn
- C•• S••••••••• L•• formerJan 15, 2020 to Sep 8, 2021 · St Paul, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 2, 2009 to Apr 24, 2012 · Wayzata, Mn
- S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••left Sep 8, 2021, registered Jan 15, 2020 (-602 days) · channel change inside one enterprise, not a move
- C•• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 8, 2021, registered Sep 20, 2021 (12 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• F•••••••• S•••••••• I•••left Apr 24, 2012, registered Jan 15, 2020 (2822 days) · Wirehouse to affiliated broker-dealer or bank
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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address