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••• R•••••• O••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 13, 2022 · Minneapolis, Mn
- U••• B•••••• I••••••••• I••• formerAug 11, 2016 to Oct 13, 2022 · Burnsville, Mn
- C••• B•••••••• S•••••••• I••• formerJul 30, 2012 to Aug 12, 2016 · Minneapolis, Mn
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Jul 19, 2012 · Edina, Mn
- M•• F•••••••• S•••••••• I••• formerOct 8, 2007 to Jan 18, 2011 · Carlsbad, Ca
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Oct 13, 2022, registered Oct 13, 2022 (0 days) · Affiliated broker-dealer or bank to wirehouse
- C••• B•••••••• S•••••••• I••• to U••• B•••••• I••••••••• I•••left Aug 12, 2016, registered Aug 11, 2016 (-1 days) · Other
- V•••• F•••••••• A•••••••• I••• to C••• B•••••••• S•••••••• I•••left Jul 19, 2012, registered Jul 30, 2012 (11 days) · Other
- M•• F•••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Jan 18, 2011, registered Jan 3, 2011 (-15 days) · Other
- M••• R•••••• O•••• left U••• B•••••• I••••••••• I••• for W•••• F•••• A••••••• (registered 2022-10-13)Oct 13, 2022 · Advisor changed firm · fact
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