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••••• M•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Dec 13, 2019 · St Cloud, Mn
- W••••••• F•••••••• S•••••••• I••• formerMar 18, 2019 to Nov 21, 2019 · Avon, Mn
- L•• F•••••••• L•• BD affiliatedSep 14, 2018 to Mar 27, 2019 · Avon, Mn
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Sep 17, 2018 · St Cloud, Mn
- C••••• I••••••••• S••••••• L•• formerApr 10, 2013 to Jan 21, 2014 · St Cloud, Mn
- W••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 21, 2019, registered Dec 13, 2019 (22 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Mar 27, 2019, registered Mar 18, 2019 (-9 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Sep 17, 2018, registered Sep 14, 2018 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (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
- 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