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.
N••••••• N•••••••• K•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Bloomington, Mn
- W•••••• • R••• formerFeb 5, 2020 to Jul 21, 2021 · Savage, Mn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 14, 2019 to Dec 23, 2019 · Golden Valley, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDDec 16, 2013 to Apr 30, 2019 · Plymouth, Mn
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to W•••••• • R•••left Dec 23, 2019, registered Feb 5, 2020 (44 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Apr 30, 2019, registered May 14, 2019 (14 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address