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••••• K•••••• S•••••••••
- T••••••• A•••• M••••••••• L•• asset manager currentsince Jul 8, 2019 · Minneapolis, Mn
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJan 15, 2019 to Jun 13, 2019 · Minneapolis, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDJun 24, 2016 to Feb 23, 2017 · Minneapolis, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDApr 10, 2013 to Sep 1, 2015 · Minneapolis, Mn
- T••••••• I••••••••• M••••••••• I••• to T••••••• A•••• M••••••••• L••left Jun 13, 2019, registered Jul 8, 2019 (25 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Feb 23, 2017, registered Jan 15, 2019 (691 days) · Affiliated broker-dealer or bank to another · moved with a team
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address