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•••• J•••• G•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Fargo, Nd
- U••••••••• W••••• M••••••••• L•• independent RIAOct 9, 2014 to Feb 6, 2015 · Casselton, Nd
- C••••• A•••••• N••••••• L•• formerNov 13, 2012 to Sep 30, 2014 · Fargo, Nd
- E••••• J•••• national BDAug 29, 2011 to Nov 1, 2012 · Fargo, Nd
- U••••••••• W••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Feb 6, 2015, registered Jun 29, 2023 (3065 days) · Other
- C••••• A•••••• N••••••• L•• to U••••••••• W••••• M••••••••• L••left Sep 30, 2014, registered Oct 9, 2014 (9 days) · Other
- E••••• J•••• to C••••• A•••••• N••••••• L••left Nov 1, 2012, registered Nov 13, 2012 (12 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