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.
J••••••• P• R•••••••
- T••••••••• R••••••••• A•••••••• L•• BD affiliated currentsince Jan 9, 2019 · Franklin, Wi
- L•• F•••••••• L•• BD affiliatedJul 5, 2011 to Sep 21, 2016 · Milwaukee, Wi
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 30, 2010 to Jul 5, 2011 · Milwaukee, Wi
- C•••• I••••••••• S••••••• C•••• formerMay 16, 2007 to Mar 3, 2010 · New Berlin, Wi
- C•••••• L•• independent RIAJul 3, 2003 to Nov 7, 2003 · Wauwatosa, Wi
- L•• F•••••••• L•• to T••••••••• R••••••••• A•••••••• L••left Sep 21, 2016, registered Jan 9, 2019 (840 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to U•••• F•••••••• S••••••• G••••• I•••left Mar 3, 2010, registered Mar 30, 2010 (27 days) · Other
- C•••••• L•• to C•••• I••••••••• S••••••• C••••left Nov 7, 2003, registered May 16, 2007 (1286 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address