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.
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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Edina, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 29, 2020 to Mar 31, 2025 · Edina, Mn
- E•••••• C•••••• M••••••••• L•• formerNov 27, 2018 to Sep 18, 2020 · Edina, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 12, 2017 to Nov 30, 2018 · Minnetonka, Mn
- S•••••••• I••••••••• M••••••••• formerMay 23, 2017 to Sep 19, 2017 · Saint Louis, Mo
- 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
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 18, 2020, registered Sep 29, 2020 (11 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••left Nov 30, 2018, registered Nov 27, 2018 (-3 days) · Wirehouse to independent RIA
- S•••••••• I••••••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 19, 2017, registered Oct 12, 2017 (23 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address