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.
B••••••• G•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Dayton, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 18, 2021 to Mar 31, 2025 · Westlake, Tx
- P•••• S••••••••• L•• no RAUMOct 28, 2020 to Apr 21, 2021 · Minneapolis, Mn
- P••••••••• S••••• S••••••••• L•• institutionalAug 3, 2018 to Dec 31, 2020 · Plymouth, Mn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 5, 2017 to Jul 3, 2018 · Edina, Mn
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliatedApr 25, 2016 to Feb 16, 2017 · Eden Prairie, Mn
- L•• F•••••••• L•• BD affiliatedApr 20, 2016 to Apr 22, 2016 · Eden Prairie, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 21, 2021, registered Jun 18, 2021 (58 days) · Affiliated broker-dealer or bank to another
- P••••••••• S••••• S••••••••• L•• to P•••• S••••••••• L••left Dec 31, 2020, registered Oct 28, 2020 (-64 days) · channel change inside one enterprise, not a move · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to P••••••••• S••••• S••••••••• L••left Jul 3, 2018, registered Aug 3, 2018 (31 days) · Other
- W••••• E••••••••• A••••••• S•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Feb 16, 2017, registered Jul 5, 2017 (139 days) · Other
- L•• F•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Apr 22, 2016, registered Apr 25, 2016 (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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address