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.
S•••••• J••• M••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · Minneapolis, Mn
- S••••••• F•••••••• S•••••••• I••• formerFeb 8, 2018 to Aug 10, 2023 · Minneapolis, Mn
- C•• S••••••••• L•• formerFeb 8, 2018 to Oct 20, 2021 · Minneapolis, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDJun 30, 2011 to Jun 2, 2017 · Saint Louis, Mo
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Oct 20, 2021, registered Feb 8, 2018 (-1350 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C•• S••••••••• L••left Jun 2, 2017, registered Feb 8, 2018 (251 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address