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.
B••••• P••••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 8, 2024 · Apple Valley, Mn
- J••• M••••• S••••••••• L•• wirehouseOct 6, 2023 to Sep 27, 2024 · Plymouth, Mn
- U••• B•••••• I••••••••• I••• formerNov 5, 2021 to Oct 4, 2023 · Saint Paul, Mn
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Sep 27, 2024, registered Oct 8, 2024 (11 days) · Wirehouse to wirehouse · moved with a team
- U••• B•••••• I••••••••• I••• to J••• M••••• S••••••••• L••left Oct 4, 2023, registered Oct 6, 2023 (2 days) · Affiliated broker-dealer or bank to wirehouse
- B••••• P•••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2024-10-08)Sep 27, 2024 · Advisor changed firm · fact
- B••••• P•••••• left U••• B•••••• I••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-10-06)Oct 4, 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