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.
B•••• T•••••• M•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Milwaukee, Wi
- C••••• A•••••• N••••••• L•• formerFeb 10, 2022 to Feb 14, 2022 · Marinette, Wi
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Feb 23, 2022 · Windsor, Ct
- V••• F•••••••• P•••••••• L•• formerDec 4, 2003 to Dec 31, 2010 · Lisle, Il
- V••• F•••••••• P•••••••• L•• formerJun 30, 2000 to Jul 23, 2002 · Pewaukee, Wi
- V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Feb 23, 2022, registered Feb 10, 2022 (-13 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Feb 14, 2022, registered Jun 29, 2023 (500 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Dec 31, 2010, registered Jan 3, 2011 (3 days) · Other
- B•••• T•••••• M••••••• left V••• F•••••••• A•••••••• I••• for C••••• A•••••• N••••••• L•• (registered 2022-02-10)Feb 23, 2022 · a•••••• firm change · fact
- B•••• T•••••• M••••••• left C••••• A•••••• N••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)Feb 14, 2022 · a•••••• firm change · fact
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address