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.
T•••••• L• J••••••
- U••••••••• W••••• M••••••••• L•• independent RIA currentsince Jan 16, 2020 · Glenwood, Mn
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Jan 16, 2020 · Willmar, Mn
- C••••• I••••••••• S••••••• L•• formerAug 22, 2007 to Jan 21, 2014 · Oakland, Tn
- E••••• J•••• national BDJan 22, 2007 to Jul 31, 2007 · Arlington, Tn
- C••••• I••••••••• A••••••• L•• to U••••••••• W••••• M••••••••• L••left Jan 16, 2020, registered Jan 16, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- E••••• J•••• to C••••• I••••••••• S••••••• L••left Jul 31, 2007, registered Aug 22, 2007 (22 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address