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.
A••• K••••• C•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 26, 2021 · Huntley, Il
- W•••• F•••• A••••••• wirehouseMar 20, 2014 to Jul 8, 2019 · Milwaukee, Wi
- C•••• C•••• S••••••••• I••• unclassifiedJun 7, 2012 to Apr 17, 2014 · Milwaukee, Wi
- M•• I••••••••• M••••••••• C•••• formerSep 3, 2008 to Feb 17, 2012 · Milwaukee, Wi
- J••• M••••• A•••• M••••••••• unclassifiedJun 23, 2003 to Sep 23, 2004 · Columbus, Oh
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 8, 2019, registered Feb 26, 2021 (599 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• C•••• S••••••••• I••• to W•••• F•••• A•••••••left Apr 17, 2014, registered Mar 20, 2014 (-28 days) · Other
- M•• I••••••••• M••••••••• C•••• to C•••• C•••• S••••••••• I•••left Feb 17, 2012, registered Jun 7, 2012 (111 days) · Other
- J••• M••••• A•••• M••••••••• to M•• I••••••••• M••••••••• C••••left Sep 23, 2004, registered Sep 3, 2008 (1441 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address