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•••••• G••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 12, 2014 · Minneapolis, Mn
- S••••••• F•••••••• S•••••••• I••• formerJan 7, 2014 to Feb 3, 2014 · St Paul, Mn
- C•• S••••••••• L•• formerJan 7, 2014 to Feb 3, 2014 · St Paul, Mn
- G••••••• A•••••••• L•• independent RIAJan 30, 2012 to Oct 7, 2013 · Arden Hills, Mn
- R•• C•••••• M••••••• L•• national BDNov 24, 2011 to Feb 7, 2012 · Minneapolis, Mn
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Feb 3, 2014, registered Jan 7, 2014 (-27 days) · Other
- S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••left Feb 3, 2014, registered Jan 7, 2014 (-27 days) · channel change inside one enterprise, not a move
- G••••••• A•••••••• L•• to C•• S••••••••• L••left Oct 7, 2013, registered Jan 7, 2014 (92 days) · Other
- R•• C•••••• M••••••• L•• to G••••••• A•••••••• L••left Feb 7, 2012, registered Jan 30, 2012 (-8 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address