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.
S••• M•••• B•••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Jun 15, 2022 · Des Moines, Ia
- S••••••• F•••••••• S•••••••• I••• formerJan 4, 2019 to Apr 21, 2022 · St Paul, Mn
- C•• S••••••••• L•• formerJan 4, 2019 to Nov 8, 2021 · St Paul, Mn
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliatedAug 19, 2015 to Mar 29, 2018 · Plymouth, Mn
- L•• F•••••••• L•• BD affiliatedAug 11, 2015 to Aug 18, 2015 · Plymouth, Mn
- W•••• F•••• A••••••• wirehouseOct 31, 2013 to Aug 5, 2015 · Bloomington, Mn
- S••••••• F•••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Apr 21, 2022, registered Jun 15, 2022 (55 days) · RIA to affiliated broker-dealer or bank
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Nov 8, 2021, registered Jan 4, 2019 (-1039 days) · channel change inside one enterprise, not a move · moved with a team
- W••••• E••••••••• A••••••• S•••••••• L•• to C•• S••••••••• L••left Mar 29, 2018, registered Jan 4, 2019 (281 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Aug 18, 2015, registered Aug 19, 2015 (1 days) · Other · moved with a team
- W•••• F•••• A••••••• to L•• F•••••••• L••left Aug 5, 2015, registered Aug 11, 2015 (6 days) · Other
- S••• M•••• B••••• left S••••••• F•••••••• S•••••••• I••• for P•••••••• S••••••••• I••• (registered 2022-06-15)Apr 21, 2022 · Advisor changed firm · fact
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address