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.
E••• A••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Richfield, Wi
- I••••••••• C•••••• O• A••••••• I••• formerJul 15, 2014 to Nov 29, 2017 · Richfield, Wi
- R••••••••• C•••••• M••••••••• L•• independent RIANov 28, 2012 to Jul 11, 2014 · Menomonee Falls, Wi
- A•••• W••••• M••••••••• L•• independent RIAJun 15, 2011 to Dec 18, 2012 · Brookfield, Wi
- T•• M••••• F••• S•••• formerFeb 14, 2006 to Jul 12, 2011 · Waukesha, Wi
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 16, 2005 to Jan 25, 2006 · Chicago, Il
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
- R••••••••• C•••••• M••••••••• L•• to I••••••••• C•••••• O• A••••••• I•••left Jul 11, 2014, registered Jul 15, 2014 (4 days) · Other
- A•••• W••••• M••••••••• L•• to R••••••••• C•••••• M••••••••• L••left Dec 18, 2012, registered Nov 28, 2012 (-20 days) · Other
- T•• M••••• F••• S•••• to A•••• W••••• M••••••••• L••left Jul 12, 2011, registered Jun 15, 2011 (-27 days) · Other
- V•••• F•••••••• A•••••••• I••• to T•• M••••• F••• S••••left Jan 25, 2006, registered Feb 14, 2006 (20 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address