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••••• B••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Saint Peter, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 15, 2022 to Mar 31, 2025 · Saint Peter, Mn
- C••••• A•••••• N••••••• L•• formerJun 7, 2019 to Dec 2, 2021 · Minnetonka, Mn
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Jun 3, 2019 · N. Mankato, Mn
- I••••••••• C•••••• O• A••••••• I••• formerJan 23, 2014 to Nov 29, 2017 · North Mankato, Mn
- C••• B•••••••• S•••••••• I••• formerAug 23, 2007 to Jan 17, 2012 · Woodbury, Mn
- W•••• F•••• I••••••••• L•• unclassifiedSep 6, 2005 to Jul 19, 2007 · Saint Paul, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 2, 2021, registered Feb 15, 2022 (75 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••• A•••••• N••••••• L••left Jun 3, 2019, registered Jun 7, 2019 (4 days) · RIA to affiliated broker-dealer or bank
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
- C••• B•••••••• S•••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Jan 17, 2012, registered Jan 23, 2014 (737 days) · Other
- W•••• F•••• I••••••••• L•• to C••• B•••••••• S•••••••• I•••left Jul 19, 2007, registered Aug 23, 2007 (35 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address