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.
S••••• M•••••• E•••••
- T•••••••• A••••••• G••••• I••• BD affiliated currentsince Aug 31, 2020 · Krakow, Wi
- S•• A•••••••• I••• formerAug 25, 2016 to Aug 31, 2020 · Krakow, Wi
- S•• I••••••••• I••• formerJan 4, 2011 to Aug 25, 2016 · Krakow, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 1, 2009 to Dec 31, 2010 · De Pere, Wi
- S•• A•••••••• I••• to T•••••••• A••••••• G••••• I•••left Aug 31, 2020, registered Aug 31, 2020 (0 days) · Affiliated broker-dealer or bank to another
- S•• I••••••••• I••• to S•• A•••••••• I•••left Aug 25, 2016, registered Aug 25, 2016 (0 days) · Other
- M•• I•••••••• S•••••••• L•• to S•• I••••••••• I•••left Dec 31, 2010, registered Jan 4, 2011 (4 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address