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.
C•••••••• M•••••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 23, 2024 · Eyota, Mn
- U••••••••• W••••• M••••••••• L•• independent RIAAug 8, 2024 to Sep 13, 2024 · Plainview, Mn
- M••••• S•••••• wirehouseNov 27, 2023 to Jun 21, 2024 · Rochester, Mn
- U••••••••• W••••• M••••••••• L•• to O•••• W•••••• I•••left Sep 13, 2024, registered Sep 23, 2024 (10 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to U••••••••• W••••• M••••••••• L••left Jun 21, 2024, registered Aug 8, 2024 (48 days) · Wirehouse to independent RIA
- C•••••••• M••••••••• left U••••••••• W••••• M••••••••• L•• for O•••• W•••••• I••• (registered 2024-09-23)Sep 13, 2024 · Advisor changed firm · fact
- C•••••••• M••••••••• left M••••• S•••••• for U••••••••• W••••• M••••••••• L•• (registered 2024-08-08)Jun 21, 2024 · 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