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•••••• J• M••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Little Falls, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDOct 22, 2016 to Jul 13, 2018 · Minnetonka, Mn
- O•• L••• F•••••••• G••••• I••• independent RIADec 23, 2015 to Jul 28, 2016 · Minnetonka, Mn
- A••••••••• W••••• P••••••• independent RIAJan 29, 2014 to Dec 28, 2015 · Minnetonka, Mn
- C••••• A•••••• N••••••• L•• formerJan 8, 2014 to Dec 28, 2015 · Minnetonka, Mn
- F•••• F•••••••• independent RIAFeb 22, 2010 to Oct 20, 2010
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- O•• L••• F•••••••• G••••• I••• to S•••••••• A••••••• L••left Jul 28, 2016, registered Oct 22, 2016 (86 days) · RIA to affiliated broker-dealer or bank
- A••••••••• W••••• P••••••• to O•• L••• F•••••••• G••••• I•••left Dec 28, 2015, registered Dec 23, 2015 (-5 days) · Other · moved with a team
- C••••• A•••••• N••••••• L•• to A••••••••• W••••• P•••••••left Dec 28, 2015, registered Jan 29, 2014 (-698 days) · Other · moved with a team
- F•••• F•••••••• to C••••• A•••••• N••••••• L••left Oct 20, 2010, registered Jan 8, 2014 (1176 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address