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••• M•••••• V•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 23, 2025 · Appleton, Wi
- W••••••• I••••••••• formerMar 30, 2007 to Jan 23, 2025 · Chicago, Il
- S•••••• N••••••• • C••••••• I••••••••• national BDAug 31, 2006 to Apr 17, 2007 · Green Bay, Wi
- W••••••• I••••••••• to L•• F•••••••• L••left Jan 23, 2025, registered Jan 23, 2025 (0 days) · corporate re-registration, not a move
- S•••••• N••••••• • C••••••• I••••••••• to W••••••• I•••••••••left Apr 17, 2007, registered Mar 30, 2007 (-18 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address