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•••• R•• L•••••
- N•••••• A••••••• BD affiliated currentsince Feb 12, 2025 · Sioux Falls, Sd
- U•• F•••••••• S••••••• I••• wirehouseSep 30, 2022 to Feb 11, 2025 · Wayzata, Mn
- T• A••••••••• I••• formerAug 2, 2022 to Sep 1, 2022 · Omaha, Ne
- U•• F•••••••• S••••••• I••• to N•••••• A•••••••left Feb 11, 2025, registered Feb 12, 2025 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- T• A••••••••• I••• to U•• F•••••••• S••••••• I•••left Sep 1, 2022, registered Sep 30, 2022 (29 days) · Other
- M•••• R•• L••••• left U•• F•••••••• S••••••• I••• for N•••••• A••••••• (registered 2025-02-12)Feb 11, 2025 · Advisor changed firm · fact
- M•••• R•• L••••• left T• A••••••••• I••• for U•• F•••••••• S••••••• I••• (registered 2022-09-30)Sep 1, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address