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.
C••••••••• A••••• M••••••
- G•••••• W••••• P•••••••• L•• independent RIA currentsince Nov 22, 2022 · Appleton, Wi
- L•• F•••••••• L•• BD affiliated currentsince Aug 23, 2018 · Port Washington, Wi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 18, 2016 to Aug 23, 2018 · Sturgeon Bay, Wi
- C•••••• W••••• A•••••••• L••• independent RIASep 9, 2013 to Sep 24, 2014 · West Bend, Wi
- D•• M•• W••••• M••••••••• L•• unclassifiedOct 26, 2012 to Apr 10, 2016 · Port Washington, Wi
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 29, 2012 · West Bend, Wi
- C•••• I••••••••• S••••••• C•••• formerApr 21, 2010 to Oct 1, 2012 · West Bend, Wi
- S•••••• C•••••• M••••••••• L•• unclassifiedJul 24, 2000 to Dec 14, 2005 · San Diego, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Aug 23, 2018, registered Aug 23, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- D•• M•• W••••• M••••••••• L•• to C•••••• W••••• A•••••••• L•••left Apr 10, 2016, registered Sep 9, 2013 (-944 days) · Other
- C•••••• W••••• A•••••••• L••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 24, 2014, registered Mar 18, 2016 (541 days) · Other
- J••• M••••• S••••••••• L•• to D•• M•• W••••• M••••••••• L••left Oct 29, 2012, registered Oct 26, 2012 (-3 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
- S•••••• C•••••• M••••••••• L•• to C•••• I••••••••• S••••••• C••••left Dec 14, 2005, registered Apr 21, 2010 (1589 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address