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.
R••• R••••••••• O••••••
- C••• L•• BD affiliated currentsince Feb 18, 2020 · Sioux Falls, Sd
- F•••••• F•••••••• C••••••••• I••• unclassifiedFeb 9, 2016 to Feb 13, 2020 · Hartford, Sd
- F•••••• F•••••••• C••••••••• I••• unclassifiedFeb 21, 2012 to Dec 31, 2015 · Sioux Falls, Sd
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 5, 2010 to Jan 17, 2012 · Sioux Falls, Sd
- O••••••••• S••••••••• I••• BD affiliatedFeb 9, 2009 to Dec 2, 2009 · Sioux Falls, Sd
- F•••••• F•••••••• C••••••••• I••• to C••• L••left Feb 13, 2020, registered Feb 18, 2020 (5 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to F•••••• F•••••••• C••••••••• I•••left Jan 17, 2012, registered Feb 21, 2012 (35 days) · Other
- O••••••••• S••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 2, 2009, registered Jan 5, 2010 (34 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address