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.
P••• E••• W•••••••
- R•• C•••••• M••••••• L•• national BD currentsince Sep 27, 2018 · Mequon, Wi
- R••••• W• B•••• • C•• I••••••••• mixed wealthMay 28, 2010 to Sep 28, 2018 · Milwaukee, Wi
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Jun 10, 2010 · Brookfield, Wi
- P•••• S•••••• • C•• institutionalSep 29, 2005 to Aug 12, 2006 · Milwaukee, Wi
- R••••• W• B•••• • C•• I••••••••• to R•• C•••••• M••••••• L••left Sep 28, 2018, registered Sep 27, 2018 (-1 days) · RIA to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to R••••• W• B•••• • C•• I•••••••••left Jun 10, 2010, registered May 28, 2010 (-13 days) · Other
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address