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.
N••••••• G•• W•••••••
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealth currentsince Apr 9, 2018 · Bismark, Nd
- L•••• F••• A••••••• S••••••• BD affiliatedNov 2, 2015 to Apr 5, 2018 · Bismarck, Nd
- T••••••• I••••••••• M••••••••• I••• BD affiliatedSep 24, 2008 to Oct 22, 2015 · Hazen, Nd
- L•••• F••• A••••••• S••••••• to I••••••••• A•••••• A•••••••• L••left Apr 5, 2018, registered Apr 9, 2018 (4 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- T••••••• I••••••••• M••••••••• I••• to L•••• F••• A••••••• S•••••••left Oct 22, 2015, registered Nov 2, 2015 (11 days) · Other · moved with a team
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
- I••••••••• WEALTHderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address