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.
M•••••• A•••••• M••••••
- I• F•••••••• A••••••• S••••••• L•• independent RIA currentsince Jun 3, 2021 · Sioux Falls, Sd
- A••••••• F•••••••• A•••••••• L•• BD affiliatedSep 12, 2019 to May 12, 2021 · Sioux Falls, Sd
- T•••••• formerJan 26, 2018 to Dec 31, 2018 · Sioux Falls, Sd
- B••••••• I••••••••• S•••••••• I••• ••••• formerDec 14, 2010 to Sep 21, 2016 · Windom, Mn
- E•••••••• A•••••••• L•• national BDJul 30, 2009 to Dec 7, 2010 · Sioux Falls, Sd
- A••••••• F•••••••• A•••••••• L•• to I• F•••••••• A••••••• S••••••• L••left May 12, 2021, registered Jun 3, 2021 (22 days) · Affiliated broker-dealer or bank to another
- T•••••• to A••••••• F•••••••• A•••••••• L••left Dec 31, 2018, registered Sep 12, 2019 (255 days) · RIA to affiliated broker-dealer or bank
- B••••••• I••••••••• S•••••••• I••• ••••• to T••••••left Sep 21, 2016, registered Jan 26, 2018 (492 days) · Other
- E•••••••• A•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Dec 7, 2010, registered Dec 14, 2010 (7 days) · Other
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address