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••••• G••••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 17, 2011 · Milwaukee, Wi
- C••••• I••••••••• S••••••• L•• formerNov 23, 2010 to Oct 14, 2011 · Greenfield, Wi
- J• W• C••• A•••••••• I••• BD affiliatedSep 29, 2009 to May 11, 2010 · Tampa, Fl
- C•••• I••••••••• S••••••• C•••• formerOct 20, 2008 to Aug 25, 2009 · Bristol, Wi
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Oct 14, 2011, registered Oct 17, 2011 (3 days) · Other
- J• W• C••• A•••••••• I••• to C••••• I••••••••• S••••••• L••left May 11, 2010, registered Nov 23, 2010 (196 days) · Other
- C•••• I••••••••• S••••••• C•••• to J• W• C••• A•••••••• I•••left Aug 25, 2009, registered Sep 29, 2009 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address