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.
V•••••• F•••••• E•••••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · North Bethesda, Md
- P•••• S••••••••• L•• no RAUMAug 16, 2024 to Nov 14, 2024 · North Bethesda, Md
- A••••••••• F•••••••• S•••••••• L•• national BDJan 13, 2017 to Jun 30, 2023 · Minneapolis, Mn
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to P•••• S••••••••• L••left Jun 30, 2023, registered Aug 16, 2024 (413 days) · Affiliated broker-dealer or bank to another
- V•••••• F•••••• E••••••••• left A••••••••• F•••••••• S•••••••• L•• for P•••• S••••••••• L•• (registered 2024-08-16)Jun 30, 2023 · 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
- 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