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.
J••••• M•••••• R•••••
- I••••••••• F•••••••• S•••••••• I••• independent RIA currentsince Nov 19, 2018 · Wahpeton, Nd
- C•••••• F•••••••• S•••••••• I••• formerDec 14, 2015 to Nov 19, 2018 · Wahpeton, Nd
- B••••••• I••••••••• S•••••••• I••• ••••• formerFeb 2, 2015 to Dec 16, 2015 · Wahpeton, Nd
- I••••• F•••••••• C••••••••• formerAug 20, 2008 to Jan 28, 2015 · Wahpeton, Nd
- C•••••• F•••••••• S•••••••• I••• to I••••••••• F•••••••• S•••••••• I•••left Nov 19, 2018, registered Nov 19, 2018 (0 days) · RIA to RIA
- B••••••• I••••••••• S•••••••• I••• ••••• to C•••••• F•••••••• S•••••••• I•••left Dec 16, 2015, registered Dec 14, 2015 (-2 days) · Other
- I••••• F•••••••• C••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Jan 28, 2015, registered Feb 2, 2015 (5 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address