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.
J••••• D•••• D•••••
- T••••••••• C•••••• state registered currentsince Nov 30, 2021 · E••• P••••••, Mn
- E••• P•••••• C•••••• M••••••••• A•• C••••••••• L•• unclassifiedFeb 21, 2020 to Oct 28, 2021 · Ft Pierce, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDSep 25, 2019 to Feb 26, 2020 · Edina, Mn
- E••••• J•••• national BDMay 9, 2017 to Apr 2, 2019 · E••• P••••••, Mn
- N•••••• I••• independent RIAJun 9, 2016 to Apr 4, 2017 · Minneapolis, Mn
- T• A••••••••• I••• formerMar 6, 2015 to Nov 19, 2015 · Edina, Mn
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 6, 2015 to Nov 19, 2015 · Edina, Mn
- W•••••• • R••• formerAug 2, 2012 to Feb 19, 2014 · St Paul, Mn
- B•••••••• I••••••••• M••••••••• L•• asset managerSep 24, 2007 to May 16, 2012 · Princeton, Nj
- E••• P•••••• C•••••• M••••••••• A•• C••••••••• L•• to T••••••••• C••••••left Oct 28, 2021, registered Nov 30, 2021 (33 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to E••• P•••••• C•••••• M••••••••• A•• C••••••••• L••left Feb 26, 2020, registered Feb 21, 2020 (-5 days) · Other
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Apr 2, 2019, registered Sep 25, 2019 (176 days) · Affiliated broker-dealer or bank to another
- N•••••• I••• to E••••• J••••left Apr 4, 2017, registered May 9, 2017 (35 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 19, 2015, registered Mar 6, 2015 (-258 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 19, 2015, registered Mar 6, 2015 (-258 days) · Other
- W•••••• • R••• to T• A••••••••• I•••left Feb 19, 2014, registered Mar 6, 2015 (380 days) · Other
- B•••••••• I••••••••• M••••••••• L•• to W•••••• • R•••left May 16, 2012, registered Aug 2, 2012 (78 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address