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.
R••• C••••••••• W•••••••
- G•••• V••••• A•••••• G••••• L•• independent RIA currentsince Nov 13, 2023 · Berwyn, Pa
- L•• F•••••••• L•• BD affiliated currentsince May 2, 2018 · Minnetonka, Mn
- F•• S••••••••• C••••••••• formerMar 9, 2018 to May 4, 2018 · Minneapolis, Mn
- F•• S••••••••• C••••••••• formerNov 13, 2017 to Feb 12, 2018 · Minneapolis, Mn
- P••• A••••• S••••••••• L•• BD affiliatedJan 9, 2014 to Nov 6, 2017 · Minnetonka, Mn
- F•• S••••••••• C••••••••• to L•• F•••••••• L••left May 4, 2018, registered May 2, 2018 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- P••• A••••• S••••••••• L•• to F•• S••••••••• C•••••••••left Nov 6, 2017, registered Nov 13, 2017 (7 days) · Affiliated broker-dealer or bank to another
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