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.
C••• M•••••• R•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 5, 2017 · St Cloud, Mn
- G••••••• A•••••••• L•• i••••••••• wealthMar 15, 2016 to Nov 1, 2016 · Buffalo, Mn
- I••••••••• F•••••••• G••••• L•• BD affiliatedFeb 6, 2015 to Jan 22, 2016 · San Diego, Ca
- D•••••••• • A••••••••• F•••••••• A•••••••• I••• i••••••••• wealthJan 7, 2014 to Mar 10, 2016 · Buffalo, Mn
- G••••••• A•••••••• L•• to C••••• I••••••••• A••••••• L••left Nov 1, 2016, registered Jan 5, 2017 (65 days) · Other
- D•••••••• • A••••••••• F•••••••• A•••••••• I••• to I••••••••• F•••••••• G••••• L••left Mar 10, 2016, registered Feb 6, 2015 (-398 days) · Other
- I••••••••• F•••••••• G••••• L•• to G••••••• A•••••••• L••left Jan 22, 2016, registered Mar 15, 2016 (53 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address