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.
B•••• R•••• W••••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 8, 2010 · Bloomington, Mn
- N•• A•••••••• I••• unclassifiedJun 3, 2010 to Dec 1, 2010 · Bryan, Oh
- P•••••••• S••••••••• I••• BD affiliatedJun 2, 2010 to Jun 7, 2010 · Eden Prairie, Mn
- J••••••• L•••• A•••• M••••••••• I•• formerJul 7, 2006 to Sep 26, 2006 · Washington, Dc
- N•• A•••••••• I••• to L•• F•••••••• L••left Dec 1, 2010, registered Dec 8, 2010 (7 days) · Other
- P•••••••• S••••••••• I••• to N•• A•••••••• I•••left Jun 7, 2010, registered Jun 3, 2010 (-4 days) · Other
- J••••••• L•••• A•••• M••••••••• I•• to P•••••••• S••••••••• I•••left Sep 26, 2006, registered Jun 2, 2010 (1345 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address