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.
H•••• D••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Plymouth, Mn
- A•••••• A••••••• S••••••• formerJan 28, 2025 to Sep 5, 2025 · Dallas, Tx
- P•••••••• S••••••••• I••• BD affiliatedFeb 16, 2023 to Jan 27, 2025 · Lake Elmo, Mn
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to A•••••• A••••••• S•••••••left Jan 27, 2025, registered Jan 28, 2025 (1 days) · Affiliated broker-dealer or bank to another
- H•••• D•••• left P•••••••• S••••••••• I••• for A•••••• A••••••• S••••••• (registered 2025-01-28)Jan 27, 2025 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address