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•••••• T•••• K••••••
- G••••• V••• C•••••• M••••••••• L•• independent RIA currentsince Jan 2, 2014 · Waukesha, Wi
- T•• S•••••••• F•••••••• A••••••• BD affiliatedJul 10, 2012 to Dec 31, 2013 · Wausau, Wi
- H• B•••• I••• formerAug 20, 2010 to Dec 31, 2010 · Elm Grove, Wi
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Feb 16, 2010 · Woodruff, Wi
- W••••••••• F•••••••• G••••• I••• unclassifiedJun 23, 2003 to Sep 8, 2009 · Woodruff, Wi
- S••••••• P•••••••• A••••••••• S•••••• I•• unclassifiedOct 16, 2002 to Dec 31, 2003 · Woodruff, Wi
- F•• A••••••• S••••••• I•• unclassifiedFeb 11, 1993 to Sep 11, 2002 · Woodruff, Wi
- T•• S•••••••• F•••••••• A••••••• to G••••• V••• C•••••• M••••••••• L••left Dec 31, 2013, registered Jan 2, 2014 (2 days) · corporate re-registration, not a move
- H• B•••• I••• to T•• S•••••••• F•••••••• A•••••••left Dec 31, 2010, registered Jul 10, 2012 (557 days) · Other
- L•• F•••••••• L•• to H• B•••• I•••left Feb 16, 2010, registered Aug 20, 2010 (185 days) · Other
- W••••••••• F•••••••• G••••• I••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
- S••••••• P•••••••• A••••••••• S•••••• I•• to W••••••••• F•••••••• G••••• I•••left Dec 31, 2003, registered Jun 23, 2003 (-191 days) · Other
- F•• A••••••• S••••••• I•• to S••••••• P•••••••• A••••••••• S•••••• I••left Sep 11, 2002, registered Oct 16, 2002 (35 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address