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.
L••• G•••••• D•••••••••
- B••••••• W••••• P•••••••• L•• independent RIA currentsince Feb 2, 2023 · Minnetonka, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDJul 11, 2018 to Feb 7, 2023 · Minneapolis, Mn
- A••••••••• F•••••••• S•••••••• L•• to B••••••• W••••• P•••••••• L••left Feb 7, 2023, registered Feb 2, 2023 (-5 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- L••• G•••••• D••••••••• left A••••••••• F•••••••• S•••••••• L•• for B••••••• W••••• P•••••••• L•• (registered 2023-02-02)Feb 7, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address