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••••• R••••• E••••••
- O•••• W•••••• I••• BD affiliated currentsince May 14, 2021 · Plymouth, Mn
- A••••••••• W••••• P••••••• independent RIAApr 18, 2017 to May 14, 2021 · Maple Grove, Mn
- J•• F•••••••• A•••••••• I••• formerOct 18, 2016 to Feb 15, 2017 · Maple Grove, Mn
- C••••• A•••••• N••••••• L•• formerJan 28, 2014 to May 14, 2021 · Minnetonka, Mn
- A••••••••• W••••• P••••••• to O•••• W•••••• I•••left May 14, 2021, registered May 14, 2021 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••••• A•••••• N••••••• L•• to J•• F•••••••• A•••••••• I•••left May 14, 2021, registered Oct 18, 2016 (-1669 days) · Other · moved with a team
- J•• F•••••••• A•••••••• I••• to A••••••••• W••••• P•••••••left Feb 15, 2017, registered Apr 18, 2017 (62 days) · Other · 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
- 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