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.
T••• J• B•••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Jun 7, 2023 · Wauwatosa, Wi
- M••••• S•••••• wirehouseJul 22, 2016 to Mar 6, 2023 · Milwaukee, Wi
- U•• F•••••••• S••••••• I••• wirehouseOct 13, 2011 to Aug 12, 2016 · Brookfield, Wi
- R•••••• J•••• • A••••••••• I••• national BDJan 20, 2010 to Oct 17, 2011 · Delafield, Wi
- M•••••• P••••••••• P•••••••• L••• independent RIAJan 13, 2005 to Dec 14, 2005 · Milwaukee, Wi
- E•••••••• A•••••••• L•• national BDApr 16, 2001 to Jan 20, 2010 · Milwaukee, Wi
- M••••• S•••••• to P•••••••• S••••••••• I•••left Mar 6, 2023, registered Jun 7, 2023 (93 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Aug 12, 2016, registered Jul 22, 2016 (-21 days) · Wirehouse to wirehouse
- R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 17, 2011, registered Oct 13, 2011 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••••• A•••••••• L•• to M•••••• P••••••••• P•••••••• L•••left Jan 20, 2010, registered Jan 13, 2005 (-1833 days) · Other
- M•••••• P••••••••• P•••••••• L••• to R•••••• J•••• • A••••••••• I•••left Dec 14, 2005, registered Jan 20, 2010 (1498 days) · Other
- T••• J• B••••• left M••••• S•••••• for P•••••••• S••••••••• I••• (registered 2023-06-07)Mar 6, 2023 · Advisor changed firm · fact
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address