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••••••• state registered currentsince Nov 9, 2023 · Excelsior, Mn
- C•••• C•••• F•••••••• M••••••••• L•• independent RIASep 8, 2017 to Jun 19, 2023 · Loomis, Ca
- S••••••••• S••••••••• L•• formerMar 18, 2015 to Sep 21, 2016 · Minneapolis, Mn
- S••••••• A•••• M••••••••• I••• formerAug 27, 2014 to Mar 20, 2015 · Minneapolis, Mn
- C•••• C•••• F•••••••• M••••••••• L•• to M•••••••left Jun 19, 2023, registered Nov 9, 2023 (143 days) · RIA to a state-registered adviser
- S••••••••• S••••••••• L•• to C•••• C•••• F•••••••• M••••••••• L••left Sep 21, 2016, registered Sep 8, 2017 (352 days) · Other
- S••••••• A•••• M••••••••• I••• to S••••••••• S••••••••• L••left Mar 20, 2015, registered Mar 18, 2015 (-2 days) · Other · moved with a team
- J••••• M•••••• M••••• left C•••• C•••• F•••••••• M••••••••• L•• for Modelist (registered 2023-11-09)Jun 19, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address