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•••• L•• H••••••••
- D••• D••••••• • C•• independent RIA currentsince Dec 6, 2021 · Jenks, Ok
- L•• F•••••••• L•• BD affiliatedFeb 12, 2015 to Dec 2, 2021 · Prior Lake, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDMay 11, 2012 to Feb 9, 2015 · Minneapolis, Mn
- L•• F•••••••• L•• to D••• D••••••• • C••left Dec 2, 2021, registered Dec 6, 2021 (4 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Feb 9, 2015, registered Feb 12, 2015 (3 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address