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.
A••••• B•••• K•••
- E•••••••• A•••••••• L•• national BD currentsince Nov 6, 2013 · Brookfield, Wi
- A••••••••• F•••••••• S•••••••• L•• national BDOct 14, 2013 to Nov 6, 2013 · Brookfield, Wi
- M•••••• P••••••••• P•••••••• L••• independent RIAJan 25, 2005 to Mar 7, 2006 · Milwaukee, Wi
- E•••••••• A•••••••• L•• national BDJun 14, 1999 to Oct 18, 2013 · Milwaukee, Wi
- A••••••••• F•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Nov 6, 2013, registered Nov 6, 2013 (0 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to M•••••• P••••••••• P•••••••• L•••left Oct 18, 2013, registered Jan 25, 2005 (-3188 days) · Other
- M•••••• P••••••••• P•••••••• L••• to A••••••••• F•••••••• S•••••••• L••left Mar 7, 2006, registered Oct 14, 2013 (2778 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address