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.
J•••• M•••••• M•••••••
- T••••••••• R••••••••• A•••••••• L•• BD affiliated currentsince Dec 18, 2018 · Forest Lake, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDJul 14, 2016 to Dec 10, 2018 · Minneapolis, Mn
- S••••••• F•••••••• S•••••••• I••• formerFeb 4, 2016 to Jun 9, 2016 · Bayport, Mn
- C•• S••••••••• L•• formerFeb 4, 2016 to Jun 9, 2016 · Bayport, Mn
- A••••••••• F•••••••• S•••••••• L•• to T••••••••• R••••••••• A•••••••• L••left Dec 10, 2018, registered Dec 18, 2018 (8 days) · Affiliated broker-dealer or bank to independent RIA
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Jun 9, 2016, registered Feb 4, 2016 (-126 days) · channel change inside one enterprise, not a move
- S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••left Jun 9, 2016, registered Feb 4, 2016 (-126 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address