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•••• K•••••• G••••••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jun 19, 2018 · New York, Ny
- S••••••• F•••••••• S•••••••• I••• formerSep 11, 2017 to Jun 1, 2018 · St Paul, Mn
- C•• S••••••••• L•• formerSep 11, 2017 to Jun 1, 2018 · St. Paul, Mn
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Jun 1, 2018, registered Sep 11, 2017 (-263 days) · channel change inside one enterprise, not a move
- S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••left Jun 1, 2018, registered Sep 11, 2017 (-263 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address