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.
T••••• G•••••• L•••••••••
- C••••••• P••••••• independent RIA currentsince Jul 3, 2023 · St. Louis Park, Mn
- B•••••••• W••••• M••••••••• L•• formerJun 15, 2021 to Jul 17, 2023 · Bloomington, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDDec 1, 2020 to Jun 3, 2021 · Minneapolis, Mn
- B•••••••• W••••• M••••••••• L•• to C••••••• P•••••••left Jul 17, 2023, registered Jul 3, 2023 (-14 days) · RIA to RIA · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to B•••••••• W••••• M••••••••• L••left Jun 3, 2021, registered Jun 15, 2021 (12 days) · Affiliated broker-dealer or bank to independent RIA
- T••••• G•••••• L••••••••• left B•••••••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2023-07-03)Jul 17, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address