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•••••• L• O••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 4, 2017 · Minneapolis, Mn
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliatedSep 13, 2016 to Aug 7, 2017 · Plymouth, Mn
- U••• B•••••• I••••••••• I••• formerDec 10, 2013 to Feb 25, 2015 · Saint Paul, Mn
- E••••• J•••• national BDJun 15, 2009 to Jun 3, 2010 · St Louis, Mo
- W••••• E••••••••• A••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 7, 2017, registered Aug 4, 2017 (-3 days) · Other
- U••• B•••••• I••••••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••left Feb 25, 2015, registered Sep 13, 2016 (566 days) · Other
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Jun 3, 2010, registered Dec 10, 2013 (1286 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address