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•••• D••••• L••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 8, 2015 · New Berlin, Wi
- S•• A•••••••• I••• formerFeb 27, 2014 to Dec 15, 2014 · Brookfield, Wi
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Feb 28, 2014 · Brookfield, Wi
- C•••• I••••••••• S••••••• C•••• formerJul 8, 2010 to Oct 1, 2012 · Brookfield, Wi
- M•• I••••••••• M••••••••• C•••• formerApr 29, 2010 to Jul 1, 2010 · Milwaukee, Wi
- M•• F•••••••• A•••••••• I••• formerJul 12, 2007 to Mar 26, 2010 · Muskego, Wi
- S•• A•••••••• I••• to L•• F•••••••• L••left Dec 15, 2014, registered Jan 8, 2015 (24 days) · Other
- J••• M••••• S••••••••• L•• to S•• A•••••••• I•••left Feb 28, 2014, registered Feb 27, 2014 (-1 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•• I••••••••• M••••••••• C•••• to C•••• I••••••••• S••••••• C••••left Jul 1, 2010, registered Jul 8, 2010 (7 days) · Other
- M•• F•••••••• A•••••••• I••• to M•• I••••••••• M••••••••• C••••left Mar 26, 2010, registered Apr 29, 2010 (34 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address