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••••• S•••••• wirehouse currentsince Jul 2, 2025 · Wayzata, Mn
- R•• C•••••• M••••••• L•• national BDApr 20, 2017 to Jul 10, 2025 · Wayzata, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 18, 2016 to Apr 21, 2017 · Wayzata, Mn
- R•• C•••••• M••••••• L•• to M••••• S••••••left Jul 10, 2025, registered Jul 2, 2025 (-8 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Apr 21, 2017, registered Apr 20, 2017 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••••• H••••• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2025-07-02)Jul 10, 2025 · 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address