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.
C••••••••• J••• W••••
- M••••• S•••••• wirehouse currentsince Jun 22, 2020 · Waukesha, Wi
- A•••• W••••• M••••••••• L•• independent RIAApr 20, 2015 to Jul 7, 2020 · Brookfield, Wi
- P•••••• M••••••••• I•• formerMar 8, 2005 to Mar 20, 2015 · Milwaukee, Wi
- A•••• W••••• M••••••••• L•• to M••••• S••••••left Jul 7, 2020, registered Jun 22, 2020 (-15 days) · RIA to wirehouse
- P•••••• M••••••••• I•• to A•••• W••••• M••••••••• L••left Mar 20, 2015, registered Apr 20, 2015 (31 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address