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.
A•••••• M•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 13, 2016 · Hermantown, Mn
- C•••••••• F•••••••• G•••• A••••••• formerSep 11, 2014 to Jun 8, 2016 · St Paul, Mn
- W••••••• F•••••••• S•••••••• I••• formerJan 22, 2014 to Aug 14, 2014 · Oakdale, Mn
- S•••••••• F••••••••• I••• formerJan 22, 2010 to Nov 2, 2011 · Ashland, Wi
- C•••••••• F•••••••• G•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 8, 2016, registered Oct 13, 2016 (127 days) · Other
- W••••••• F•••••••• S•••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Aug 14, 2014, registered Sep 11, 2014 (28 days) · Other
- S•••••••• F••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Nov 2, 2011, registered Jan 22, 2014 (812 days) · Other
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address