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.
T••• M•••••• R••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 19, 2024 · Bismarck, Nd
- P•••••••• S••••••••• I••• BD affiliatedAug 18, 2014 to Oct 31, 2024 · Bismarck, Nd
- M•• F•••••••• S•••••••• I••• formerJul 25, 2011 to Aug 11, 2014 · Minnetonka, Mn
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedJun 21, 2010 to Jun 30, 2011 · Bismarck, Nd
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 8, 2010 · Bismarck, Nd
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 7, 2007 to Jun 1, 2009 · Bismark, Nd
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Oct 31, 2024, registered Oct 19, 2024 (-12 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Aug 11, 2014, registered Aug 18, 2014 (7 days) · Other
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to M•• F•••••••• S•••••••• I•••left Jun 30, 2011, registered Jul 25, 2011 (25 days) · Other
- M••••• S•••••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Jul 8, 2010, registered Jun 21, 2010 (-17 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- T••• M•••••• R•••••• left P•••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2024-10-19)Oct 31, 2024 · Advisor changed firm · fact
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address