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.
L••• M•••• M•••••
- C••••••• P••••••• independent RIA currentsince Oct 4, 2022 · Overland Park, Ks
- W••••• F•••••••• A•••••••• L•• formerJul 2, 2013 to Oct 12, 2022 · Milwaukee, Wi
- W••••• H••••• I••••••••• A••••••• L•• formerAug 15, 2007 to Jul 3, 2013 · Milwaukee, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 17, 2003 to Aug 31, 2005 · Waukesha, Wi
- W•••• F•••• A••••••• wirehouseJan 8, 2002 to Aug 5, 2003 · Milwaukee, Wi
- W••••• F•••••••• A•••••••• L•• to C••••••• P•••••••left Oct 12, 2022, registered Oct 4, 2022 (-8 days) · corporate re-registration, not a move
- W••••• H••••• I••••••••• A••••••• L•• to W••••• F•••••••• A•••••••• L••left Jul 3, 2013, registered Jul 2, 2013 (-1 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••• H••••• I••••••••• A••••••• L••left Aug 31, 2005, registered Aug 15, 2007 (714 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 5, 2003, registered Oct 17, 2003 (73 days) · Wirehouse to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address