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.
- M••••• S•••••• wirehouse currentsince Sep 3, 2021 · Wayzata, Mn
- S••••• F•••••••• S•••••••• I••• independent RIAJan 3, 2018 to Aug 7, 2021 · Edina, Mn
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 2, 2018 to Dec 5, 2019 · Edina, Mn
- L•• F•••••••• L•• BD affiliatedDec 11, 2013 to Sep 15, 2017 · Eden Prairie, Mn
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 2, 2013 · Minneapolis, Mn
- M••••• S•••••• • C•• L•• unclassifiedAug 2, 2007 to Jun 1, 2009 · Minneapolis, Mn
- S••••• F•••••••• S•••••••• I••• to M••••• S••••••left Aug 7, 2021, registered Sep 3, 2021 (27 days) · RIA to wirehouse
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••• F•••••••• S•••••••• I•••left Dec 5, 2019, registered Jan 3, 2018 (-701 days) · Other
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 15, 2017, registered Jan 2, 2018 (109 days) · Other
- M••••• S•••••• to L•• F•••••••• L••left Dec 2, 2013, registered Dec 11, 2013 (9 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address