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••••• A•• L••••••
- M••••• S•••••• wirehouse currentsince Mar 15, 2017 · Milwaukee, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerAug 1, 2012 to Mar 10, 2017 · Appleton, Wi
- M•• F•••••••• A•••••••• I••• formerApr 20, 2012 to Aug 1, 2012 · Appleton, Wi
- M•• I••••••••• M••••••••• C•••• formerMay 18, 2010 to Apr 19, 2012 · Milwaukee, Wi
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 28, 2010 · Green Bay, Wi
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 16, 1999 to Jun 1, 2009 · Rhinelander, Wi
- B•• H••••• F•••••••• A•••••••• I•• to M••••• S••••••left Mar 10, 2017, registered Mar 15, 2017 (5 days) · Other
- M•• F•••••••• A•••••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Aug 1, 2012, registered Aug 1, 2012 (0 days) · channel change inside one enterprise, not a move
- M•• I••••••••• M••••••••• C•••• to M•• F•••••••• A•••••••• I•••left Apr 19, 2012, registered Apr 20, 2012 (1 days) · channel change inside one enterprise, not a move
- M••••• S•••••• to M•• I••••••••• M••••••••• C••••left Apr 28, 2010, registered May 18, 2010 (20 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address