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.
R•••••• M••••••• J•••••
- B•••••• A•••••••• L•• independent RIA currentsince Feb 2, 2017 · Woodbury, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDApr 22, 2010 to Feb 7, 2017 · Minneapolis, Mn
- R•• C•••••• M••••••• L•• national BDOct 14, 2005 to Sep 15, 2006 · Shoreview, Mn
- A••••••••• F•••••••• S•••••••• L•• to B•••••• A•••••••• L••left Feb 7, 2017, registered Feb 2, 2017 (-5 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 15, 2006, registered Apr 22, 2010 (1315 days) · Affiliated broker-dealer or bank to another
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address