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.
C••••• M•••••• G••••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Mar 16, 2022 · Morristown, Nj
- I•••••••• F•••••••• G•••• formerJun 30, 2020 to Jul 25, 2022 · Plymouth, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDNov 27, 2018 to Jun 8, 2020 · Minneapolis, Mn
- I•••••••• F•••••••• G•••• to P•••••• A•••••• G••••• L••left Jul 25, 2022, registered Mar 16, 2022 (-131 days) · RIA to affiliated broker-dealer or bank · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to I•••••••• F•••••••• G••••left Jun 8, 2020, registered Jun 30, 2020 (22 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••••• M•••••• G•••••• left I•••••••• F•••••••• G•••• for P•••••• A•••••• G••••• L•• (registered 2022-03-16)Jul 25, 2022 · a•••••• firm change · 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