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.
M•••••• M•••••• H•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Cottage Grove, Wi
- W•••••• • R••• formerOct 21, 2020 to Jul 21, 2021 · Hamden, Ct
- L•• F•••••••• L•• BD affiliatedJul 7, 2016 to Sep 30, 2020 · Columbus, Wi
- C•••••• F•••••••• S•••••••• I••• formerApr 9, 2015 to Jun 8, 2016 · Middleton, Wi
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to W•••••• • R•••left Sep 30, 2020, registered Oct 21, 2020 (21 days) · Affiliated broker-dealer or bank to another
- C•••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jun 8, 2016, registered Jul 7, 2016 (29 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