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.
M•••••• J••••• P••••
- C• I••••••••• L•• independent RIA currentsince Feb 22, 2023 · River Falls, Wi
- S••••••••• A•••••• A•••••••• I••• formerOct 25, 2016 to Feb 21, 2023 · River Falls, Wi
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Nov 17, 2016 · Hastings, Mn
- F•••• A••••• S••••••••• I••• formerAug 8, 2011 to Jul 2, 2012 · San Diego, Ca
- E••••• J•••• national BDNov 21, 2007 to Aug 10, 2011 · Prescott, Wi
- S••••••••• A•••••• A•••••••• I••• to C• I••••••••• L••left Feb 21, 2023, registered Feb 22, 2023 (1 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• A••••• A••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Nov 17, 2016, registered Oct 25, 2016 (-23 days) · Other · moved with a team
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- E••••• J•••• to F•••• A••••• S••••••••• I•••left Aug 10, 2011, registered Aug 8, 2011 (-2 days) · Other
- M•••••• J••••• P•••• left S••••••••• A•••••• A•••••••• I••• for C• I••••••••• L•• (registered 2023-02-22)Feb 21, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address