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.
T••••• C•••••••
- G•••• V••••• A•••••• G••••• L•• independent RIA currentsince Jan 23, 2024 · Minnetonka, Mn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 4, 2021 to Jun 27, 2023 · Minnetonka, Mn
- P••••••••• S••••• S••••••••• L•• institutionalOct 15, 2018 to Feb 21, 2020 · Plymouth, Mn
- P•••• S••••••••• L•• no RAUMOct 10, 2018 to Mar 21, 2019 · Plymouth, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDAug 20, 2014 to Aug 3, 2015 · Minneapolis, Mn
- M••••• S•••••• wirehouseApr 17, 2013 to Jul 31, 2014 · Bloomington, Mn
- N••••••••• M••••• I••••••••• S••••••••• to G•••• V••••• A•••••• G••••• L••left Jun 27, 2023, registered Jan 23, 2024 (210 days) · Other
- P••••••••• S••••• S••••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Feb 21, 2020, registered Feb 4, 2021 (349 days) · Other
- P•••• S••••••••• L•• to P••••••••• S••••• S••••••••• L••left Mar 21, 2019, registered Oct 15, 2018 (-157 days) · channel change inside one enterprise, not a move
- A••••••••• F•••••••• S•••••••• L•• to P•••• S••••••••• L••left Aug 3, 2015, registered Oct 10, 2018 (1164 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jul 31, 2014, registered Aug 20, 2014 (20 days) · Wirehouse to affiliated broker-dealer or bank
- T••••• C••••••• left N••••••••• M••••• I••••••••• S••••••••• for G•••• V••••• A•••••• G••••• L•• (registered 2024-01-23)Jun 27, 2023 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address