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.
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B•••••• O••• O••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 7, 2022 · Brookfield, Wi
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Oct 12, 2022 · Brookfield, Wi
- Q•••••• A•••• M••••••••• I••• formerJun 28, 2013 to Mar 1, 2019 · Minneapolis, Mn
- W••••• S••••• S••••••••• I••• formerAug 27, 2009 to Jul 3, 2013 · Green Lake, Wi
- U••• B•••••• I••••••••• I••• formerJun 26, 2002 to Jun 26, 2002 · West Allis, Wi
- W••••••• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 12, 2022, registered Oct 7, 2022 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- W••••• S••••• S••••••••• I••• to Q•••••• A•••• M••••••••• I•••left Jul 3, 2013, registered Jun 28, 2013 (-5 days) · Other
- U••• B•••••• I••••••••• I••• to W••••• S••••• S••••••••• I•••left Jun 26, 2002, registered Aug 27, 2009 (2619 days) · Other
- B•••••• O••• O•••• left W••••••• F•••••••• S•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-10-07)Oct 12, 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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address