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.
L••••• M•••• A••••••••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Apr 11, 2011 · Milwaukee, Wi
- W•••• F•••• A••••••• wirehouseOct 28, 2009 to Sep 17, 2010 · Charlotte, Nc
- A•••••••• F•••• M••••••••• L•• asset managerApr 28, 2009 to Oct 29, 2009 · Menomonee Falls, Wi
- W•••• F•••• A••••••• to R••••• W• B•••• • C•• I•••••••••left Sep 17, 2010, registered Apr 11, 2011 (206 days) · Other
- A•••••••• F•••• M••••••••• L•• to W•••• F•••• A•••••••left Oct 29, 2009, registered Oct 28, 2009 (-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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address