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.
G••• E••••• H••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 17, 2016 · Sioux Falls, Sd
- I••••••••• C•••••• O• A••••••• I••• formerJan 18, 2011 to May 16, 2016 · Brookings, Sd
- U•• F•••••••• S••••••••• L•• independent RIAApr 22, 2008 to Jan 14, 2011 · Sioux Falls, Sd
- I••••••••• C•••••• O• A••••••• I••• to A••••••••• F•••••••• S•••••••• L••left May 16, 2016, registered May 17, 2016 (1 days) · Other · moved with a team
- U•• F•••••••• S••••••••• L•• to I••••••••• C•••••• O• A••••••• I•••left Jan 14, 2011, registered Jan 18, 2011 (4 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address