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•••• S••••
- M•••••• BD affiliated currentsince Sep 26, 2018 · Bloomington, Mn
- C•••••• C•••••• M••••••••• L•• formerOct 14, 2016 to Oct 12, 2018 · Hastings, Mn
- T•••• W••••• A•••••••• L•• independent RIAJan 16, 2015 to Sep 6, 2016 · Hopkins, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedDec 23, 2013 to Jan 7, 2015 · Minneapolis, Mn
- C•••••• C•••••• M••••••••• L•• to M••••••left Oct 12, 2018, registered Sep 26, 2018 (-16 days) · RIA to RIA
- T•••• W••••• A•••••••• L•• to C•••••• C•••••• M••••••••• L••left Sep 6, 2016, registered Oct 14, 2016 (38 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T•••• W••••• A•••••••• L••left Jan 7, 2015, registered Jan 16, 2015 (9 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address