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.
A••• J• L•••
- P•••••••• M•••••• L•• independent RIA currentsince Jun 12, 2024 · Britt, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 3, 2014 to Jan 6, 2015 · Duluth, Mn
- S••••••• F•••••••• S•••••••• I••• formerDec 23, 2013 to Feb 24, 2014 · Minneapolis, Mn
- C•• S••••••••• L•• formerDec 23, 2013 to Feb 24, 2014 · Minneapolis, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••••• M•••••• L••left Jan 6, 2015, registered Jun 12, 2024 (3445 days) · Wirehouse to independent RIA
- S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••left Feb 24, 2014, registered Dec 23, 2013 (-63 days) · Other
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Feb 24, 2014, registered Dec 23, 2013 (-63 days) · channel change inside one enterprise, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address