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.
B••••• J• S•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 4, 2014 · Wayzata, Mn
- S••••••• F•••••••• S•••••••• I••• formerApr 16, 2014 to May 30, 2014 · Minneapolis, Mn
- C•• S••••••••• L•• formerApr 16, 2014 to May 30, 2014 · Minneapolis, Mn
- T••••••• I••••••••• M••••••••• I••• BD affiliatedDec 19, 2013 to Apr 2, 2014 · Minneapolis, Mn
- S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••left May 30, 2014, registered Apr 16, 2014 (-44 days) · channel change inside one enterprise, not a move
- C•• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 30, 2014, registered Jun 4, 2014 (5 days) · Other
- T••••••• I••••••••• M••••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Apr 2, 2014, registered Apr 16, 2014 (14 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address