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.
D•••• C••••••••• H••••
- V•••••• A•••••••• I••• BD affiliated currentsince Sep 12, 2022 · Norwood, Mn
- A•••••• A••••••• S••••••• formerNov 27, 2019 to Sep 20, 2022 · Glencoe, Mn
- P•••• S••••••••• L•• no RAUMJan 8, 2013 to Nov 14, 2019 · St. Louis Park, Mn
- A•••••• A••••••• S••••••• to V•••••• A•••••••• I•••left Sep 20, 2022, registered Sep 12, 2022 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••• S••••••••• L•• to A•••••• A••••••• S•••••••left Nov 14, 2019, registered Nov 27, 2019 (13 days) · Affiliated broker-dealer or bank to another
- D•••• C••••••••• H•••• left A•••••• A••••••• S••••••• for V•••••• A•••••••• I••• (registered 2022-09-12)Sep 20, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address