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••• E••••• E••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 24, 2020 · Madison, Wi
- U••••••••• W••••• M••••••••• L•• independent RIAAug 26, 2015 to Aug 24, 2020 · Monona, Wi
- S••••••••• A•••••• A•••••••• I••• formerJul 20, 2009 to Sep 15, 2015 · La Vista, Ne
- C••••• A•••••• N••••••• L•• formerOct 23, 2003 to Jul 8, 2009 · Madison, Wi
- U••••••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Aug 24, 2020, registered Aug 24, 2020 (0 days) · RIA to affiliated broker-dealer or bank
- S••••••••• A•••••• A•••••••• I••• to U••••••••• W••••• M••••••••• L••left Sep 15, 2015, registered Aug 26, 2015 (-20 days) · Other
- C••••• A•••••• N••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jul 8, 2009, registered Jul 20, 2009 (12 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address