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.
A••••• M•••• F•••••
- T••••••• A•••• M••••••••• L•• asset manager currentsince May 14, 2021 · Minneapolis, Mn
- T••••••• I••••••••• M••••••••• I••• BD affiliatedFeb 1, 2019 to May 13, 2021 · Minneapolis, Mn
- G••••••• W••••• M••••••••• BD affiliatedSep 15, 2017 to Jan 25, 2019 · Arden Hills, Mn
- T••••••• I••••••••• M••••••••• I••• BD affiliatedOct 11, 2016 to Sep 18, 2017 · Minneapolis, Mn
- T••••••• I••••••••• M••••••••• I••• to T••••••• A•••• M••••••••• L••left May 13, 2021, registered May 14, 2021 (1 days) · Other · moved with a team
- G••••••• W••••• M••••••••• to T••••••• I••••••••• M••••••••• I•••left Jan 25, 2019, registered Feb 1, 2019 (7 days) · Affiliated broker-dealer or bank to another
- T••••••• I••••••••• M••••••••• I••• to G••••••• W••••• M•••••••••left Sep 18, 2017, registered Sep 15, 2017 (-3 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address