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.
J••••• A•••••• S•••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Jan 12, 2011 · Delafield, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 31, 2009 to Dec 21, 2010 · Waukesha, Wi
- K•••• I••••••••• G••••• L•• formerAug 6, 2008 to Jun 10, 2009 · Waukesha, Wi
- S•••••••• F••••••••• I••• formerMay 4, 2006 to May 18, 2009 · Waukesha, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 30, 2002 to Oct 30, 2002 · Brookfield, Wi
- K•••• I••••••••• G••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jun 10, 2009, registered Jul 31, 2009 (51 days) · Other
- S•••••••• F••••••••• I••• to K•••• I••••••••• G••••• L••left May 18, 2009, registered Aug 6, 2008 (-285 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to S•••••••• F••••••••• I•••left Oct 30, 2002, registered May 4, 2006 (1282 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
- No RAUM reportedderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address