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•••••• G• B•••••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 30, 2020 · Cologne, Mn
- S••••••••• A•••••• A•••••••• I••• formerJul 7, 2015 to Aug 4, 2020 · Norwood Young A••••••, Mn
- F•••••••• L•• formerNov 18, 2013 to Jul 27, 2015 · Minneapolis, Mn
- I••••••••• C•••••• O• A••••••• I••• formerFeb 1, 2011 to Nov 18, 2013 · Norwood, Mn
- S••••••••• A•••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 4, 2020, registered Jul 30, 2020 (-5 days) · Affiliated broker-dealer or bank to another
- F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jul 27, 2015, registered Jul 7, 2015 (-20 days) · Other · moved with a team
- I••••••••• C•••••• O• A••••••• I••• to F•••••••• L••left Nov 18, 2013, registered Nov 18, 2013 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address