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.
L••• J••• E••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 15, 2015 · Lake Elmo, Mn
- A••••••••• I••••••••• S•••••••• I••• independent RIAMar 13, 2014 to May 22, 2015 · West St. Paul, Mn
- I••••••••• C•••••• O• A••••••• I••• formerJun 20, 2007 to Apr 4, 2011 · Forest Lake, Mn
- A••••••••• I••••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left May 22, 2015, registered May 15, 2015 (-7 days) · Other
- I••••••••• C•••••• O• A••••••• I••• to A••••••••• I••••••••• S•••••••• I•••left Apr 4, 2011, registered Mar 13, 2014 (1074 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