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.
D••• A•••• I•••••••
- M••••• D•••••• C•••••• M••••••••• L•• independent RIA currentsince Nov 27, 2019 · Menomonee Falls, Wi
- C••••••••• W••••• A•••••••• L•• BD affiliatedMar 7, 2019 to Dec 2, 2019 · Milwaukee, Wi
- S•••••• I••••••••• S•••••••• L•• formerJan 8, 2018 to Mar 6, 2019 · Milwaukee, Wi
- J•••••• W••••• I••• mixed wealthFeb 27, 2017 to Nov 16, 2017 · Racine, Wi
- C••••••••• W••••• A•••••••• L•• to M••••• D•••••• C•••••• M••••••••• L••left Dec 2, 2019, registered Nov 27, 2019 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••• I••••••••• S•••••••• L•• to C••••••••• W••••• A•••••••• L••left Mar 6, 2019, registered Mar 7, 2019 (1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- J•••••• W••••• I••• to S•••••• I••••••••• S•••••••• L••left Nov 16, 2017, registered Jan 8, 2018 (53 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address