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•••••• F•••• K•••••
- C••••• R• W••••• L•• state registered currentsince Apr 8, 2010 · Crivitz, Wi
- K••••••••• W••••• M••••••••• L•• independent RIAJul 8, 2014 to Apr 6, 2015 · Shawano, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 3, 2004 to Jan 7, 2005 · Green Bay, Wi
- K••••••••• W••••• M••••••••• L•• to no registered destinationleft Apr 6, 2015 · Departure, no registered destination
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• R• W••••• L••left Jan 7, 2005, registered Apr 8, 2010 (1917 days) · Wirehouse to a state-registered adviser
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
- STATE REGISTEREDderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address