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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D••• L••••• F••••
- G••••• V••• C•••••• M••••••••• L•• independent RIA currentsince Dec 8, 2011 · Waukesha, Wi
- T•• S•••••••• F•••••••• A••••••• BD affiliatedNov 1, 2010 to Jun 12, 2013 · Waukesha, Wi
- I••••••••• A••••••• I••••••••• I••• unclassifiedJul 10, 2006 to Nov 3, 2010 · Waukesha, Wi
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 12, 2002 to Aug 23, 2006 · Brookfield, Wi
- W•• I••••••••• A•••••••• I••• •••••• unclassifiedSep 23, 1998 to Jul 15, 2002 · Duluth, Ga
- T•• S•••••••• F•••••••• A••••••• to G••••• V••• C•••••• M••••••••• L••left Jun 12, 2013, registered Dec 8, 2011 (-552 days) · Other
- I••••••••• A••••••• I••••••••• I••• to T•• S•••••••• F•••••••• A•••••••left Nov 3, 2010, registered Nov 1, 2010 (-2 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to I••••••••• A••••••• I••••••••• I•••left Aug 23, 2006, registered Jul 10, 2006 (-44 days) · corporate re-registration, not a move
- W•• I••••••••• A•••••••• I••• •••••• to T••••••••• F•••••••• A•••••••• L••left Jul 15, 2002, registered Jul 12, 2002 (-3 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
- Independent wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address