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.
- W•••• F•••• A••••••• wirehouse currentsince Feb 23, 2024 · Sioux Falls, Sd
- P•••• S••••••••• L•• no RAUMAug 22, 2022 to Jan 9, 2024 · Sioux Falls, Sd
- W•••• F•••• A••••••• wirehouseJan 31, 2022 to Aug 5, 2022 · Sioux Falls, Sd
- P•••• S••••••••• L•• to W•••• F•••• A•••••••left Jan 9, 2024, registered Feb 23, 2024 (45 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to P•••• S••••••••• L••left Aug 5, 2022, registered Aug 22, 2022 (17 days) · Wirehouse to affiliated broker-dealer or bank
- B•••• W•••• left P•••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2024-02-23)Jan 9, 2024 · Advisor changed firm · fact
- B•••• W•••• left W•••• F•••• A••••••• for P•••• S••••••••• L•• (registered 2022-08-22)Aug 5, 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address