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••• M•••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 13, 2025 · Bloomington, Mn
- B••••••• J•••• L•• independent RIAJul 12, 2021 to Mar 7, 2024 · Seattle, Wa
- M•••••••• W••••• M••••••••• independent RIASep 14, 2019 to Jul 27, 2021 · Minneapolis, Mn
- C••••••••• W••••• A•••••••• L•• BD affiliatedApr 6, 2018 to Aug 12, 2019 · Minneapolis, Mn
- D••••••••• F••• A••••••• L• asset managerJan 5, 2016 to Mar 28, 2018 · Austin, Tx
- C••••••••• W••••• A•••••••• L•• BD affiliatedJan 24, 2014 to May 1, 2015 · Minneapolis, Mn
- B••••••• J•••• L•• to L•• F•••••••• L••left Mar 7, 2024, registered Jun 13, 2025 (463 days) · RIA to affiliated broker-dealer or bank
- M•••••••• W••••• M••••••••• to B••••••• J•••• L••left Jul 27, 2021, registered Jul 12, 2021 (-15 days) · RIA to RIA
- C••••••••• W••••• A•••••••• L•• to M•••••••• W••••• M•••••••••left Aug 12, 2019, registered Sep 14, 2019 (33 days) · Affiliated broker-dealer or bank to independent RIA
- D••••••••• F••• A••••••• L• to C••••••••• W••••• A•••••••• L••left Mar 28, 2018, registered Apr 6, 2018 (9 days) · Other
- C••••••••• W••••• A•••••••• L•• to D••••••••• F••• A••••••• L•left May 1, 2015, registered Jan 5, 2016 (249 days) · Other
- D••• M•••• S••••••• left B••••••• J•••• L•• for L•• F•••••••• L•• (registered 2025-06-13)Mar 7, 2024 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address