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.
M•••••• L• K••••
- R•• C•••••• M••••••• L•• national BD currentsince Feb 22, 2019 · Stillwater, Mn
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliatedFeb 13, 2017 to Oct 16, 2018 · Woodbury, Mn
- L•• F•••••••• L•• BD affiliatedFeb 3, 2017 to Feb 8, 2017 · W•••••••, Mn
- I••••••••• C•••••• O• A••••••• I••• formerAug 21, 2015 to Jan 17, 2017 · Hudson, Wi
- W••••••• F•••••••• S•••••••• I••• formerMay 7, 2015 to Sep 23, 2015 · Oakdale, Mn
- E••••• J•••• national BDOct 20, 2014 to Apr 22, 2015 · St Louis, Mo
- W••••• E••••••••• A••••••• S•••••••• L•• to R•• C•••••• M••••••• L••left Oct 16, 2018, registered Feb 22, 2019 (129 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Feb 8, 2017, registered Feb 13, 2017 (5 days) · Other
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Jan 17, 2017, registered Feb 3, 2017 (17 days) · Other
- W••••••• F•••••••• S•••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Sep 23, 2015, registered Aug 21, 2015 (-33 days) · Other
- E••••• J•••• to W••••••• F•••••••• S•••••••• I•••left Apr 22, 2015, registered May 7, 2015 (15 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address