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••• D•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 27, 2021 · Bloomington, Mn
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 5, 2021 to Oct 13, 2021 · Chanhassn, Mn
- E•••••• C•••••• M••••••••• L•• formerFeb 27, 2019 to Apr 19, 2021 · Edina, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 13, 2016 to Feb 20, 2019 · Wayzata, Mn
- C••••• I••••••••• A••••••• L•• to J••• M••••• S••••••••• L••left Oct 13, 2021, registered Oct 27, 2021 (14 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••• C•••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 19, 2021, registered Apr 5, 2021 (-14 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••left Feb 20, 2019, registered Feb 27, 2019 (7 days) · Wirehouse to independent RIA · moved with a team
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address