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••••••• L••••••••
- E••••• J•••• national BD currentsince Oct 23, 2020 · Clinton, Ms
- E•••••• A••••••• G••••• L•• BD affiliatedDec 12, 2019 to Oct 13, 2020 · Milwaukee, Wi
- T••••••• I••••••••• M••••••••• institutionalOct 17, 2019 to Dec 6, 2019 · Madison, Wi
- C••• B•••••••• S•••••••• I••• formerDec 22, 2016 to Oct 30, 2019 · Oconomowoc, Wi
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedSep 12, 2016 to Dec 5, 2016 · Oconomowoc, Wi
- C••• B•••••••• S•••••••• I••• formerJul 28, 2011 to Aug 11, 2016 · Waverly, Ia
- M•••••••• A••••••• S•••••••• L•• unclassifiedSep 12, 2007 to Dec 31, 2009 · Oconomowoc, Wi
- S•• W••••• M••••••••• I••• unclassifiedJun 9, 2004 to Nov 8, 2006 · Brookfield, Wi
- E•••••• A••••••• G••••• L•• to E••••• J••••left Oct 13, 2020, registered Oct 23, 2020 (10 days) · Other
- T••••••• I••••••••• M••••••••• to E•••••• A••••••• G••••• L••left Dec 6, 2019, registered Dec 12, 2019 (6 days) · Other
- C••• B•••••••• S•••••••• I••• to T••••••• I••••••••• M•••••••••left Oct 30, 2019, registered Oct 17, 2019 (-13 days) · channel change inside one enterprise, not a move · moved with a team
- T••••••••• R••••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••left Dec 5, 2016, registered Dec 22, 2016 (17 days) · Other
- C••• B•••••••• S•••••••• I••• to T••••••••• R••••••••• A•••••••• L••left Aug 11, 2016, registered Sep 12, 2016 (32 days) · Other
- M•••••••• A••••••• S•••••••• L•• to C••• B•••••••• S•••••••• I•••left Dec 31, 2009, registered Jul 28, 2011 (574 days) · Other
- S•• W••••• M••••••••• I••• to M•••••••• A••••••• S•••••••• L••left Nov 8, 2006, registered Sep 12, 2007 (308 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