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.
J•••• P•••••• M••••••
- V•••• W••••• M••••••••• L•• state registered currentsince Feb 9, 2017 · Fridley, Mn
- T•• I••••••••• C•••••• L•• unclassifiedSep 17, 2015 to Nov 7, 2016 · Eau Claire, Wi
- S••••••••• S••••••••• L•• formerMar 12, 2015 to May 1, 2015 · Andover, Mn
- S••••••• A•••• M••••••••• I••• formerDec 19, 2012 to Mar 20, 2015 · Minneapolis, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 16, 2011 to Dec 20, 2012 · Bloomington, Mn
- T•• I••••••••• C•••••• L•• to V•••• W••••• M••••••••• L••left Nov 7, 2016, registered Feb 9, 2017 (94 days) · Other
- S••••••••• S••••••••• L•• to T•• I••••••••• C•••••• L••left May 1, 2015, registered Sep 17, 2015 (139 days) · Other
- S••••••• A•••• M••••••••• I••• to S••••••••• S••••••••• L••left Mar 20, 2015, registered Mar 12, 2015 (-8 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• A•••• M••••••••• I•••left Dec 20, 2012, registered Dec 19, 2012 (-1 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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address