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•••• W• A••••••••
- O•••• W•••••• I••• BD affiliated currentsince May 14, 2021 · Plymouth, Mn
- A••••••••• W••••• P••••••• independent RIAApr 18, 2017 to May 17, 2021 · Maple Grove, Mn
- J•• F•••••••• A•••••••• I••• formerOct 18, 2016 to Feb 15, 2017 · Maple Grove, Mn
- C••••• A•••••• N••••••• L•• formerOct 12, 2016 to May 18, 2021 · Minnetonka, Mn
- M•• A••••••• S•••••••• L•• independent RIAMar 18, 2015 to Aug 7, 2018 · Maple Grove, Mn
- I•••••••• C•••••• A••••••• formerSep 16, 2010 to Mar 11, 2015 · Lynnfield, Ma
- L•• F•••••••• L•• BD affiliatedFeb 18, 2009 to Sep 27, 2010 · Maple Grove, Mn
- C••••• A•••••• N••••••• L•• to J•• F•••••••• A•••••••• I•••left May 18, 2021, registered Oct 18, 2016 (-1673 days) · Other · moved with a team
- A••••••••• W••••• P••••••• to O•••• W•••••• I•••left May 17, 2021, registered May 14, 2021 (-3 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•• A••••••• S•••••••• L•• to C••••• A•••••• N••••••• L••left Aug 7, 2018, registered Oct 12, 2016 (-664 days) · Other
- J•• F•••••••• A•••••••• I••• to A••••••••• W••••• P•••••••left Feb 15, 2017, registered Apr 18, 2017 (62 days) · Other · moved with a team
- I•••••••• C•••••• A••••••• to M•• A••••••• S•••••••• L••left Mar 11, 2015, registered Mar 18, 2015 (7 days) · Other
- L•• F•••••••• L•• to I•••••••• C•••••• A•••••••left Sep 27, 2010, registered Sep 16, 2010 (-11 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address