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.
G•••• S• L••••
- A••••••• W••••• A••••••• BD affiliated currentsince Jun 1, 2018 · West End , Wi
- T•••• A•••••••• L•• formerJan 11, 2016 to May 29, 2018 · Waukesha, Wi
- I•••••••• C•••••• A••••••• formerJan 23, 2013 to Feb 2, 2016 · Waukesha, Wi
- Q•••••• A•••• M••••••••• I••• formerMar 5, 2008 to Feb 15, 2013 · Minneapolis, Mn
- T•••• A•••••••• L•• to A••••••• W••••• A•••••••left May 29, 2018, registered Jun 1, 2018 (3 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- I•••••••• C•••••• A••••••• to T•••• A•••••••• L••left Feb 2, 2016, registered Jan 11, 2016 (-22 days) · Other · moved with a team
- Q•••••• A•••• M••••••••• I••• to I•••••••• C•••••• A•••••••left Feb 15, 2013, registered Jan 23, 2013 (-23 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