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.
G••• B•••• L•••
- O•••• W•••••• I••• BD affiliated currentsince Jan 17, 2025 · Pelican Rapids, Mn
- A••••••••• W••••• P••••••• independent RIANov 29, 2017 to Nov 12, 2020 · Pelican Rapids, Mn
- C•••••••• F•••••••• G•••• A••••••• formerOct 24, 2011 to Dec 19, 2017 · Pelica Rapids, Mn
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 12, 2007 to Oct 13, 2011 · Fargo, Nd
- G••••• W••••• M••••••••• I••• BD affiliatedJul 2, 2004 to Mar 2, 2007 · Fargo, Nd
- A••••••••• W••••• P••••••• to O•••• W•••••• I•••left Nov 12, 2020, registered Jan 17, 2025 (1527 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C•••••••• F•••••••• G•••• A••••••• to A••••••••• W••••• P•••••••left Dec 19, 2017, registered Nov 29, 2017 (-20 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C•••••••• F•••••••• G•••• A•••••••left Oct 13, 2011, registered Oct 24, 2011 (11 days) · Other
- G••••• W••••• M••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Mar 2, 2007, registered Mar 12, 2007 (10 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address