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••••• E••• H•••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 29, 2025 · Rice Lake, Wi
- O•••• W•••••• I••• BD affiliatedJan 19, 2024 to May 1, 2025 · Rice Lake, Wi
- W••••••• F•••••••• S•••••••• I••• formerJun 27, 2019 to Jan 19, 2024 · Rice Lake, Wi
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Jul 10, 2019 · Rice Lake, Wi
- I••••• F•••••••• C••••••••• formerMar 17, 2014 to Feb 20, 2018 · Rice Lake, Wi
- W•••••• • R••• formerNov 12, 2012 to Jul 8, 2013 · Rice Lake, Wi
- A••••••• E•••••••• I••• formerJun 30, 2011 to Aug 2, 2011 · Chicago, Il
- O•••• W•••••• I••• to L•• F•••••••• L••left May 1, 2025, registered Apr 29, 2025 (-2 days) · corporate re-registration, not a move
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jul 10, 2019, registered Jun 27, 2019 (-13 days) · RIA to affiliated broker-dealer or bank
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 20, 2018, registered Feb 14, 2018 (-6 days) · corporate re-registration, not a move
- W•••••• • R••• to I••••• F•••••••• C•••••••••left Jul 8, 2013, registered Mar 17, 2014 (252 days) · Other
- A••••••• E•••••••• I••• to W•••••• • R•••left Aug 2, 2011, registered Nov 12, 2012 (468 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address