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.
G••••• J•• B•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Medina, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 14, 2018 to Mar 31, 2025 · Minnetonka, Mn
- B•• W••••• A•••••••• L•• independent RIANov 7, 2017 to Oct 29, 2018 · Minnetonka, Mn
- C••• F•••••••• S•••••••• L••• formerOct 30, 2017 to Oct 30, 2018 · Minnetonka, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDMar 27, 2012 to Nov 1, 2017 · Minneapolis, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to B•• W••••• A•••••••• L••left Oct 30, 2018, registered Nov 7, 2017 (-357 days) · Other
- B•• W••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 29, 2018, registered Dec 14, 2018 (46 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left Nov 1, 2017, registered Oct 30, 2017 (-2 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