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.
R•• L•••• K•••
- M• H••••••• S••••••••• I••• BD affiliated currentsince Feb 24, 2021 · Uniondale, Ny
- A•• F•••••••• S••••••• unclassifiedMar 12, 2002 to Mar 17, 2014 · Minnetonka, Mn
- L•• F•••••••• L•• BD affiliatedDec 28, 2001 to Sep 10, 2020 · Minnetonka, Mn
- L•• F•••••••• L•• to A•• F•••••••• S•••••••left Sep 10, 2020, registered Mar 12, 2002 (-6757 days) · Other
- A•• F•••••••• S••••••• to M• H••••••• S••••••••• I•••left Mar 17, 2014, registered Feb 24, 2021 (2536 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address