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.
W•••••• E• B••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Crandon, Wi
- C••• B•••••••• S•••••••• I••• formerNov 16, 2021 to May 18, 2022 · Neenah, Wi
- O••••••••• S••••••••• I••• BD affiliatedSep 19, 2018 to Nov 15, 2021 · Appleton, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedApr 24, 2014 to Apr 9, 2018 · Appleton, Wi
- C••• B•••••••• S•••••••• I••• formerApr 21, 2003 to Apr 23, 2014 · Greenville, Wi
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- O••••••••• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left Nov 15, 2021, registered Nov 16, 2021 (1 days) · Affiliated broker-dealer or bank to another
- T••••••• I••••••••• M••••••••• I••• to O••••••••• S••••••••• I•••left Apr 9, 2018, registered Sep 19, 2018 (163 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to T••••••• I••••••••• M••••••••• I•••left Apr 23, 2014, registered Apr 24, 2014 (1 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address