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.
M•••••• O••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Fox Point, Wi
- C•••• I••••••••• S••••••• C•••• formerJun 14, 2006 to Oct 1, 2012 · Milwaukee, Wi
- E•••• S••••••••• L•• BD affiliatedOct 13, 2004 to Jun 15, 2006 · Portland, Or
- S••••••• F•••• A••••••• formerApr 6, 2001 to Apr 30, 2004 · Portland, Or
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- E•••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left Jun 15, 2006, registered Jun 14, 2006 (-1 days) · Other
- S••••••• F•••• A••••••• to E•••• S••••••••• L••left Apr 30, 2004, registered Oct 13, 2004 (166 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address