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.
N••••• K•••••• S••••••
- M••••• S•••••• wirehouse currentsince May 11, 2023 · Wayzata, Mn
- L•• F•••••••• L•• BD affiliatedJun 9, 2020 to May 15, 2023 · Bloomington, Mn
- A••••••••• L••• otherFeb 20, 2018 to Jun 5, 2020 · Minneapolis, Mn
- S•••••• C• B•••••••• • C••• L•• otherFeb 16, 2018 to Feb 20, 2018 · Minneapolis, Mn
- L•• F•••••••• L•• to M••••• S••••••left May 15, 2023, registered May 11, 2023 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• L••• to L•• F•••••••• L••left Jun 5, 2020, registered Jun 9, 2020 (4 days) · Other
- S•••••• C• B•••••••• • C••• L•• to A••••••••• L•••left Feb 20, 2018, registered Feb 20, 2018 (0 days) · Other
- N••••• K•••••• S•••••• left L•• F•••••••• L•• for M••••• S•••••• (registered 2023-05-11)May 15, 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address