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.
C•••••••• H••••
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Dec 6, 2019 · St. Louis Park, Mn
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliatedOct 31, 2017 to Dec 2, 2019 · Plymouth, Mn
- L•• F•••••••• L•• BD affiliatedOct 24, 2017 to Oct 24, 2017 · Plymouth, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDNov 19, 2013 to May 31, 2016 · Lake Elmo, Mn
- M••••• S•••••• wirehouseJan 19, 2011 to May 30, 2013 · Wayzata, Mn
- W••••• E••••••••• A••••••• S•••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Dec 2, 2019, registered Dec 6, 2019 (4 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 24, 2017, registered Oct 31, 2017 (7 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left May 31, 2016, registered Oct 24, 2017 (511 days) · Other · moved with a team
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left May 30, 2013, registered Nov 19, 2013 (173 days) · Wirehouse to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address