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.
J••• W••••• W•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 9, 2011 · Madison, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerJul 1, 2010 to Sep 19, 2011 · Mt Horeb, Wi
- A••••• I••••••••• S•••••••• I•• unclassifiedMar 2, 2009 to Sep 30, 2010 · Madison, Wi
- B•• H••••• F•••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Sep 19, 2011, registered Sep 9, 2011 (-10 days) · Other
- A••••• I••••••••• S•••••••• I•• to B•• H••••• F•••••••• A•••••••• I••left Sep 30, 2010, registered Jul 1, 2010 (-91 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address