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.
A••••• C••••••• E••••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 7, 2021 · Minneapolis, Mn
- A••••••••• W••••• P••••••• independent RIAMay 1, 2020 to May 14, 2021 · Minnetonka, Mn
- U••• B•••••• I••••••••• I••• formerJan 11, 2019 to Mar 18, 2020 · Minnetonka, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDJan 31, 2014 to Aug 17, 2018 · Minneapolis, Mn
- A••••••••• W••••• P••••••• to W•••• F•••• A•••••••left May 14, 2021, registered Jul 7, 2021 (54 days) · RIA to wirehouse
- U••• B•••••• I••••••••• I••• to A••••••••• W••••• P•••••••left Mar 18, 2020, registered May 1, 2020 (44 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• F•••••••• S•••••••• L•• to U••• B•••••• I••••••••• I•••left Aug 17, 2018, registered Jan 11, 2019 (147 days) · Affiliated broker-dealer or bank to another
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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address