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•••• T•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · New Berlin, Wi
- C•••• I••••••••• S••••••• C•••• formerApr 8, 2010 to Oct 1, 2012 · New Berlin, Wi
- M•• F•••••••• A•••••••• I••• formerSep 15, 2005 to Mar 30, 2010 · West Allis, Wi
- V••••• A•••• M••••••••• I•• unclassifiedJun 20, 2001 to Dec 31, 2004 · Milwaukee, Wi
- 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
- M•• F•••••••• A•••••••• I••• to C•••• I••••••••• S••••••• C••••left Mar 30, 2010, registered Apr 8, 2010 (9 days) · Other
- V••••• A•••• M••••••••• I•• to M•• F•••••••• A•••••••• I•••left Dec 31, 2004, registered Sep 15, 2005 (258 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address