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.
D••••• P••••• H•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 4, 2021 · Plymouth, Mn
- L•• F•••••••• L•• BD affiliatedMar 31, 2021 to Apr 14, 2021 · Madison, Wi
- F•••••••• W••••• M••••••••• L•• formerJun 29, 2006 to Dec 31, 2020 · Madison, Wi
- F•••••••• P••••••• S•••••••• I•• unclassifiedJun 13, 2006 to Dec 31, 2007 · Madison, Wi
- S•• I••••••••• I••• formerMay 29, 1998 to Dec 31, 2017 · Madison, Wi
- L•• F•••••••• L•• to no registered destinationleft Apr 14, 2021 · Departure, no registered destination
- F•••••••• W••••• M••••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Dec 31, 2020, registered Jan 4, 2021 (4 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•• I••••••••• I••• to F•••••••• P••••••• S•••••••• I••left Dec 31, 2017, registered Jun 13, 2006 (-4219 days) · Other
- F•••••••• P••••••• S•••••••• I•• to F•••••••• W••••• M••••••••• L••left Dec 31, 2007, registered Jun 29, 2006 (-550 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address