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•••••••• N••••• T••••
- R•• C•••••• M••••••• L•• national BD currentsince Dec 21, 2018 · Minneapolis, Mn
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAJun 28, 2018 to Aug 28, 2018 · St. Louis Park, Mn
- R••••• W• B•••• • C•• I••••••••• mixed wealthOct 1, 2014 to Feb 16, 2018 · Edina, Mn
- U•• F•••••••• S••••••• I••• wirehouseDec 9, 2013 to Oct 6, 2014 · Bloomington, Mn
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to R•• C•••••• M••••••• L••left Aug 28, 2018, registered Dec 21, 2018 (115 days) · RIA to affiliated broker-dealer or bank
- R••••• W• B•••• • C•• I••••••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Feb 16, 2018, registered Jun 28, 2018 (132 days) · RIA to RIA
- U•• F•••••••• S••••••• I••• to R••••• W• B•••• • C•• I•••••••••left Oct 6, 2014, registered Oct 1, 2014 (-5 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address