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••• D••• P•••••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 8, 2021 · Bloomington, Mn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 15, 2013 to Jan 20, 2021 · Lake Elmo, Mn
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 20, 2013 · White Bear Lake, Mn
- W•••• F•••• I••••••••• L•• unclassifiedNov 11, 2009 to Jan 3, 2011 · Eagan, Mn
- N••••••••• M••••• I••••••••• S••••••••• to W•••• F•••• A•••••••left Jan 20, 2021, registered Jan 8, 2021 (-12 days) · Other
- W•••• F•••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Sep 20, 2013, registered Oct 15, 2013 (25 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address