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.
C•••• S• V••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Pewaukee, Wi
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 26, 2022 to Mar 31, 2025 · Salt Lake City, Ut
- L•• F•••••••• L•• BD affiliatedJul 29, 2021 to Oct 4, 2021 · Brookfield, Wi
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 3, 2017 to Dec 31, 2020 · Brookfield, Wi
- T• A••••••••• I••• formerMay 3, 2017 to Jan 11, 2021 · Brookfield, Wi
- W•••••• • R••• formerFeb 6, 2015 to Apr 26, 2017 · Waukesha, Wi
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Feb 18, 2015 · Germantown, Wi
- C•••• I••••••••• S••••••• C•••• formerApr 9, 2007 to Oct 1, 2012 · Germantown, Wi
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 4, 2021, registered Jan 26, 2022 (114 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to L•• F•••••••• L••left Jan 11, 2021, registered Jul 29, 2021 (199 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered May 3, 2017 (-1338 days) · corporate re-registration, not a move
- W•••••• • R••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 26, 2017, registered May 3, 2017 (7 days) · Other
- J••• M••••• S••••••••• L•• to W•••••• • R•••left Feb 18, 2015, registered Feb 6, 2015 (-12 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address