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.
E••• S•••• K•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Bloomington, Mn
- A••••••••• W••••• P••••••• independent RIA currentsince Mar 22, 2019 · Bloomington, Mn
- K•••• M••••••••• formerNov 12, 2014 to Mar 7, 2016 · St. Paul, Mn
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedJan 31, 2014 to Nov 13, 2014 · St. Paul, Mn
- K•••• M••••••••• to A••••••••• W••••• P•••••••left Mar 7, 2016, registered Mar 22, 2019 (1110 days) · Other
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to K•••• M•••••••••left Nov 13, 2014, registered Nov 12, 2014 (-1 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address