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.
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O••••• Z••• K••••••••
- C••• L•• BD affiliated currentsince Oct 7, 2024 · Fairmont, Mn
- S•••• F•••••••• P•••••••• L•• formerNov 1, 2021 to Jan 2, 2025 · Fairmont, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedDec 23, 2013 to Nov 17, 2021 · Fairmont, Mn
- S•••• F•••••••• P•••••••• L•• to C••• L••left Jan 2, 2025, registered Oct 7, 2024 (-87 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••• F•••••••• P•••••••• L••left Nov 17, 2021, registered Nov 1, 2021 (-16 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- O••••• Z••• K•••••••• left S•••• F•••••••• P•••••••• L•• for C••• L•• (registered 2024-10-07)Jan 2, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address