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••••••••• G••••• A•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 25, 2025 · Rochester, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 16, 2022 to Jul 30, 2025 · Rochester, Mn
- C••••••••• F•••••••• N•••••• national BDJan 21, 2014 to Aug 17, 2022 · Rochester, Mn
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to May 13, 2011 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedJan 30, 2008 to Jan 3, 2011 · Rochester, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• F•••••••• N••••••left Jul 30, 2025, registered Jul 25, 2025 (-5 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 17, 2022, registered Aug 16, 2022 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left May 13, 2011, registered Jan 21, 2014 (984 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C••••••••• G••••• A••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C••••••••• F•••••••• N•••••• (registered 2025-07-25)Jul 30, 2025 · Advisor changed firm · fact
- C••••••••• G••••• A••••••• left C••••••••• F•••••••• N•••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-08-16)Aug 17, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address