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.
- E••••• J•••• national BD currentsince Oct 20, 2021 · Minot, Nd
- L•• F•••••••• L•• BD affiliatedDec 14, 2015 to Dec 14, 2021 · Minot, Nd
- M•••• C••••••• A••••••• S•••••• BD affiliatedNov 27, 2013 to Dec 10, 2015 · Minot, Nd
- L•• F•••••••• L•• to E••••• J••••left Dec 14, 2021, registered Oct 20, 2021 (-55 days) · Affiliated broker-dealer or bank to another
- M•••• C••••••• A••••••• S•••••• to L•• F•••••••• L••left Dec 10, 2015, registered Dec 14, 2015 (4 days) · Other · 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address