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.
D••• M• S•••••••
- E•••••• S•••••• P•••••• W••••• independent RIA currentsince Dec 22, 2020 · Minneapolis, Mn
- P••• A••••• S••••••••• L•• BD affiliatedNov 4, 2019 to Dec 24, 2020 · Minnetonka, Mn
- E•••• S••••••••• L•• BD affiliatedOct 11, 2019 to Oct 17, 2019 · Edina, Mn
- P••• A••••• S••••••••• L•• to E•••••• S•••••• P•••••• W•••••left Dec 24, 2020, registered Dec 22, 2020 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- E•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Oct 17, 2019, registered Nov 4, 2019 (18 days) · Affiliated broker-dealer or bank to another
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address